DOE M 435.1-1 Chg 2 (Admin Chg), Radioactive Waste Management Manual
Functional areas: Administrative Change, Defense Nuclear Facility Safety and Health Requirement, Radioactive Waste Management, Requires Crosswalk When Revised, Safety and Security
This Manual further describes the requirements and establishes specific responsibilities for implementing DOE O 435.1, Radioactive Waste Management, for the management of DOE high-level waste, transuranic waste, low-level waste, and the radioactive component of mixed waste. Change 1 dated 6/19/01 removes the requirement that Headquarters is to be notified and the Office of Environment, Safety and Health consulted for exemptions for use of non-DOE treatment facilities. Certified 1-9-07. Admin Chg 2, dated 6-8-11, supersedes DOE M 435.1-1 Chg 1.
Related To:
Version history and related documents
Superseded by
A newer version replaces this document.
Supersedes
Earlier documents this one replaced.
- DOE M 435.1-1 Chg 1Radioactive Waste Management Manual (Jul 09, 1999)
Related documents
- DOE O 435.1Radioactive Waste Management
- DOE M 435.1-1 Chg 2 (Admin Chg), Radioactive Waste Management Manual - Change Chart
- DOE O 435.1 Chg 1 (PgChg)Radioactive Waste Management
- DOE N 435.1Contact-Handled and Remote-Handled Transuranic Waste Packaging
- DOE G 435.1-1Implementation Guide for Use with DOE M 435.1-1
Document text
Text extracted from the attached file. Refer to the original document for the authoritative version.
Section 1
Distribution: Initiated By:
All Departmental Elements Office of Environmental Management
MANUAL
Approved: 7-09-99
Change 1: 6-19-01
Certified: 1-9-07
Change 2: 6-8-11
RADIOACTIVE WASTE
MANAGEMENT MANUAL
U.S. DEPARTMENT OF ENERGY
DOE M 435.1-1
(This page intentionally left blank.)
DOE M 435.1-1 i
7-09-99
RADIOACTIVE WASTE MANAGEMENT MANUAL
1. PURPOSE. This Manual further describes the requirements and establishes specific
responsibilities for implementing DOE O 435.1, Radioactive Waste Management, for the
management of DOE high-level waste, transuranic waste, low-level waste, and the
radioactive component of mixed waste. The purpose of the Manual is to catalog those
procedural requirements and existing practices that ensure that all DOE elements and
contractors continue to manage DOE’s radioactive waste in a manner that is protective of
worker and public health and safety, and the environment.
2. APPLICABILITY. The requirements set forth in this Manual apply to DOE elements,
and contractors as set forth in DOE O 435.1, Radioactive Waste Management.
3. SUMMARY. This Manual is organized into four (4) chapters. Chapter I, General
Requirements and Responsibilities, contains requirements and responsibilities which are
applicable to all radioactive waste types and delineates responsibilities for radioactive
waste management decision-making at the complex-wide and Field Element levels.
Chapters II through IV contain those requirements that are applicable to high-level waste,
transuranic waste, and low-level waste including the radioactive component of mixed
low-level waste, respectively.
4. IMPLEMENTATION. The requirements of this Manual apply to all new and existing
DOE radioactive waste management facilities, operations, and activities. Implementation
of the requirements shall begin at the earliest possible date, and all DOE entities shall be in
compliance with this directive within one year of its issuance. Compliance with this
directive includes implementing the requirements or an approved implementation or
corrective action plan. If compliance with this Order cannot be achieved within one year
of its issuance, the Field Element Manager must request approval to extend the compliance
date to no later than October 1, 2001, from the cognizant Program Secretarial Officer
(PSO). Failure to implement the requirements of this directive shall, through the
appropriate lines of management, result in corrective actions including, if necessary,
shutdown of radioactive waste management facilities, operations, or activities until the
appropriate requirements are implemented. Any of the requirements in this Manual may
be waived or modified through application of a DOE-approved requirements tailoring
process, such as the “Necessary and Sufficient Closure Process” in DOE P 450.3 and DOE
M 450.3-1 and DOE P 450.4, Safety Management System Policy, the applicable or relevant
and appropriate requirements identification process for actions taken pursuant to the
Department’s CERCLA authorities, or by an exemption processed in accordance with the
requirements of DOE M 251.1-1A, Directives System Manual.
5. REVISIONS. Systematic planning, execution, and evaluation of radioactive waste
management facilities, operations, and activities will provide the basis for evaluating the
adequacy of and, if necessary, revising the requirements of DOE O 435.1, Radioactive
Section 2
Waste Management, and this Manual. The revision process will be based on DOE P
450.4, Safety Management System Policy, and will implement continuous improvement for
management of radioactive waste. The process includes: identifying the functions
ii DOE M 435.1-1
7-09-99
necessary to execute radioactive waste management responsibilities; conducting an
analysis of the hazards associated with performing those functions; developing and
implementing the proper controls to mitigate any associated hazards; developing and
implementing a periodic assessment of work performance; and providing feedback to
revise the work processes and incorporate lessons learned, as appropriate. Administrative
requirements of the Order and Manual will be revised as needed to support safe and
efficient waste management.
6. DEFINITIONS. Definitions for DOE M 435.1-1, Radioactive Waste Management
Manual, are provided in Attachment 2.
7. REFERENCE. DOE O 435.1, Radioactive Waste Management, dated 7-09-99.
8. CONTACT. Call the Office of Waste Management at (202) 586-0370.
BY ORDER OF THE SECRETARY OF ENERGY:
THOMAS T. TAMURA
Acting Director of
Management and Administration
DOE M 435.1-1 iii
7-09-99
TABLE OF CONTENTS
CHAPTER I - GENERAL REQUIREMENTS AND RESPONSIBILITIES .............................. I-1
1. REQUIREMENTS ............................................................................................................ I-1
A. Delegation of Authority .............................................................................................. I-1
B. Use of Guidance .......................................................................................................... I-1
C. Radioactive Waste Management ................................................................................. I-1
D. Analysis of Environmental Impacts. ........................................................................... I-1
E. Requirements of Other Regulations and DOE Directives .......................................... I-1
(1) Analysis of Operations Information ................................................................... I-2
(2) Classified Waste................................................................................................. I-2
(3) Conduct of Operations ....................................................................................... I-2
(4) Criticality Safety ................................................................................................ I-2
(5) Emergency Management Program ..................................................................... I-2
(6) Environmental and Occurrence Reporting......................................................... I-2
(7) Environmental Monitoring................................................................................. I-2
(8) Hazard Analysis Documentation and Authorization Basis ................................ I-2
(9) Life-Cycle Asset Management .......................................................................... I-3
(10) Mixed Waste ...................................................................................................... I-3
(11) Packaging and Transportation............................................................................ I-3
(12) Quality Assurance Program ............................................................................... I-3
(13) Radiation Protection........................................................................................... I-3
Section 3
(14) Records Management......................................................................................... I-3
(15) Release of Waste Containing Residual Radioactive Material ........................... I-4
(16) Safeguards and Security ..................................................................................... I-4
(17) Safety Management System ............................................................................... I-4
(18) Site Evaluation and Facility Design ................................................................... I-4
(19) Training and Qualification ................................................................................. I-4
(20) Waste Minimization and Pollution Prevention .................................................. I-5
(21) Worker Protection .............................................................................................. I-5
2. RESPONSIBILITIES ....................................................................................................... I-5
A. Program Secretarial Officers....................................................................................... I-5
(1) Compliance ....................................................................................................... I-5
(2) Convening Disposal Review Panels ................................................................. I-5
(3) Disposal ............................................................................................................ I-6
(4) High-Level Waste Closure Plans ..................................................................... I-6
B. Assistant Secretary for Environmental Management ................................................. I-6
(1) Complex-Wide Radioactive Waste Management Programs .............................. I-7
(2) Changes to Regulations and DOE Directives .................................................... I-7
(3) Waste Management Data System ..................................................................... I-7
(4) Waste Incidental to Reprocessing .................................................................... I-7
(5) Establishing Disposal Review Panels .............................................................. I-7
C. Assistant Secretary for Environment, Safety, and Health........................................... I-7
(1) Secretarial Advice ............................................................................................ I-7
iv DOE M 435.1-1
7-09-99
(2) TRU Waste Disposal Facility Approval ........................................................... I-8
(3) Review Panel Participation .............................................................................. I-8
D. Director, Office of Independent Oversight and Performance Assurance ................... I-8
E. Field Element Managers ............................................................................................. I-9
(1) Site-Wide Radioactive Waste Management Programs ...................................... I-9
(2) Radioactive Waste Management Basis ............................................................ I-10
(3) Waste Minimization and Pollution Prevention ................................................ I-10
(4) Selection of Radioactive Waste Management Facilities .................................. I-10
(5) Environmental Restoration, Decommissioning, and Other Cleanup Waste. ... I-11
Section 4
(6) Radioactive Waste Acceptance Requirements ................................................. I-12
(7) Radioactive Waste Generator Requirements ................................................... I-12
(8) Closure Plans ................................................................................................... I-13
(9) Defense-In-Depth ............................................................................................. I-13
(10) Oversight .......................................................................................................... I-13
(11) Training and Qualification ............................................................................... I-13
(12) As Low As Reasonably Achievable (ALARA) ............................................... I-13
(13) Storage ............................................................................................................. I-13
(14) Treatment ......................................................................................................... I-14
(15) Disposal............................................................................................................ I-14
(16) Monitoring ....................................................................................................... I-14
(17) Material and Waste Declassification for Waste Management ......................... I-14
(18) Waste Incidental to Reprocessing .................................................................... I-14
(19) Waste With No Identified Path to Disposal ..................................................... I-14
(20) Corrective Actions ........................................................................................... I-15
G. All Personnel ............................................................................................................. I-15
(1) Problem Identification ..................................................................................... I-15
(2) Shutdown or Curtailment of Activities ............................................................ I-15
CHAPTER II - HIGH-LEVEL WASTE REQUIREMENTS ......................................................II-1
A. Definition of High-Level Waste ................................................................................II-1
B. Waste Incidental to Reprocessing ..............................................................................II-1
(1) Citation ..............................................................................................................II-1
(2) Evaluation .........................................................................................................II-1
C. Management of Specific Wastes ................................................................................II-2
(1) Mixed High-Level Waste ..................................................................................II-2
(2) TSCA-Regulated Waste ....................................................................................II-2
D. Complex-Wide High-Level Waste Management Program ........................................II-3
E. Site-Wide Radioactive Waste Management Program ................................................II-3
F. Radioactive Waste Management Basis ......................................................................II-3
(1) Generators .........................................................................................................II-3
Section 5
(2) Pretreatment and Treatment Facilities ..............................................................II-3
(3) Storage Facilities ...............................................................................................II-3
G. Quality Assurance Program .......................................................................................II-3
(1) Product Quality .................................................................................................II-3
(2) Audits and Assessments ....................................................................................II-3
H. Contingency Actions ..................................................................................................II-3
DOE M 435.1-1 v
7-09-99
(1) Contingency Storage .........................................................................................II-4
(2) Transfer Equipment ..........................................................................................II-4
I. Corrective Actions .....................................................................................................II-4
(1) Order Compliance .............................................................................................II-4
(2) Operations Curtailment .....................................................................................II-4
J. Waste Acceptance ......................................................................................................II-4
(1) Technical and Administrative ...........................................................................II-4
(2) Evaluation and Acceptance ...............................................................................II-5
K. Waste Generation Planning........................................................................................II-5
(1) Life-Cycle Planning ..........................................................................................II-5
(2) Waste With No Identified Path to Disposal ......................................................II-5
L. Waste Characterization ..............................................................................................II-5
(1) Data Quality Objectives ....................................................................................II-6
(2) Minimum Waste Characterization ....................................................................II-6
(3) Hazardous Characteristics .................................................................................II-6
M. Waste Certification ....................................................................................................II-6
(1) Certification Program........................................................................................II-6
(2) Certification Before Transfer ............................................................................II-6
(3) Maintaining Certification ..................................................................................II-7
N. Waste Transfer ...........................................................................................................II-7
(1) Authorization ....................................................................................................II-7
(2) Data ...................................................................................................................II-7
(3) Records and Transfer Reporting .......................................................................II-7
Section 6
O. Packaging and Transportation....................................................................................II-7
(1) Canistered Waste Form .....................................................................................II-7
P. Site Evaluation and Facility Design ...........................................................................II-7
(1) Site Evaluation ..................................................................................................II-7
(2) Facility Design ..................................................................................................II-8
Q. Storage .....................................................................................................................II-10
(1) Operation of Confinement Systems ................................................................II-10
(2) Structural Integrity Program ...........................................................................II-10
(3) Canistered Waste Form Storage ......................................................................II-12
R. Treatment .................................................................................................................II-12
S. Disposal....................................................................................................................II-12
T. Monitoring ...............................................................................................................II-12
U. Closure .....................................................................................................................II-12
(1) Decommissioning ...........................................................................................II-13
(2) CERCLA Process............................................................................................II-13
(3) Closure ............................................................................................................II-13
V. Specific Operations ..................................................................................................II-14
(1) Operation of Lifting Devices ..........................................................................II-14
(2) Operation of Facilities for Receipt and Retrieval of High-Level Waste ........II-14
CHAPTER III - TRANSURANIC WASTE REQUIREMENTS .............................................. III-1
A. Definition of Transuranic Waste .............................................................................. III-1
B. Management of Specific Wastes .............................................................................. III-1
vi DOE M 435.1-1
7-09-99
(1) Mixed Transuranic Waste ............................................................................... III-1
(2) TSCA-Regulated Waste .................................................................................. III-1
(3) Pre-1970 Transuranic Waste ........................................................................... III-1
C. Complex-Wide Transuranic Waste Management Program ..................................... III-2
D. Radioactive Waste Management Basis .................................................................... III-2
(1) Generators ....................................................................................................... III-2
(2) Treatment Facilities ........................................................................................ III-2
Section 7
(3) Storage Facilities ............................................................................................. III-2
(4) Disposal Facilities ........................................................................................... III-2
E. Contingency Actions ................................................................................................ III-2
(1) Contingency Storage ....................................................................................... III-2
(2) Transfer Equipment ........................................................................................ III-2
F. Corrective Actions ................................................................................................... III-2
(1) Order Compliance ........................................................................................... III-3
(2) Operations Curtailment ................................................................................... III-3
G. Waste Acceptance .................................................................................................... III-3
(1) Technical and Administrative ......................................................................... III-3
(2) Evaluation and Acceptance ............................................................................. III-3
H. Waste Generation Planning...................................................................................... III-3
(1) Life-Cycle Planning ........................................................................................ III-4
(2) Waste With No Identified Path to Disposal .................................................... III-4
I. Waste Characterization ............................................................................................ III-4
(1) Data Quality Objectives .................................................................................. III-4
(2) Minimum Waste Characterization .................................................................. III-4
J. Waste Certification .................................................................................................. III-5
(1) Certification Program...................................................................................... III-5
(2) Certification Before Transfer .......................................................................... III-5
(3) Maintaining Certification ................................................................................ III-5
K. Waste Transfer ......................................................................................................... III-5
(1) Authorization .................................................................................................. III-5
(2) Data ................................................................................................................. III-5
L. Packaging and Transportation.................................................................................. III-5
(1) Packaging ........................................................................................................ III-5
(2) Transportation ................................................................................................. III-6
M. Site Evaluation and Facility Design ......................................................................... III-6
(1) Site Evaluation ................................................................................................ III-6
Section 8
(2) Facility Design ................................................................................................ III-6
N. Storage ..................................................................................................................... III-7
(1) Storage Prohibitions ........................................................................................ III-7
(2) Storage Integrity.............................................................................................. III-8
(3) Container Inspection ....................................................................................... III-8
(4) Retrievable Earthen-Covered Storage............................................................. III-8
O. Treatment ................................................................................................................. III-8
P. Disposal.................................................................................................................... III-8
Q. Monitoring ............................................................................................................... III-8
DOE M 435.1-1 vii
7-09-99
(1) All Waste Facilities ......................................................................................... III-8
(2) Stored Wastes.................................................................................................. III-8
(3) Liquid Waste Storage Facilities ...................................................................... III-9
CHAPTER IV - LOW-LEVEL WASTE REQUIREMENTS ................................................... IV-1
A. Definition of Low-Level Waste ............................................................................... IV-1
B. Management of Specific Wastes .............................................................................. IV-1
(1) Mixed Low-Level Waste ................................................................................ IV-1
(2) TSCA-Regulated Waste .................................................................................. IV-1
(3) Accelerator-Produced Waste .......................................................................... IV-1
(4) 11e.(2) and Naturally Occurring Radioactive Material .................................. IV-1
C. Complex-Wide Low-Level Waste Management Program ...................................... IV-1
D. Radioactive Waste Management Basis .................................................................... IV-2
(1) Generators ....................................................................................................... IV-2
(2) Treatment Facilities ........................................................................................ IV-2
(3) Storage Facilities ............................................................................................. IV-2
(4) Disposal Facilities ........................................................................................... IV-2
E. Contingency Actions ................................................................................................ IV-2
(1) Contingency Storage ....................................................................................... IV-2
(2) Transfer Equipment ........................................................................................ IV-2
F. Corrective Actions ................................................................................................... IV-2
Section 9
(1) Order Compliance ........................................................................................... IV-2
(2) Operations Curtailment ................................................................................... IV-3
G. Waste Acceptance .................................................................................................... IV-3
(1) Technical and Administrative ......................................................................... IV-3
(2) Evaluation and Acceptance ............................................................................. IV-4
H. Waste Generation Planning...................................................................................... IV-4
(1) Life-Cycle Planning ........................................................................................ IV-4
(2) Waste With No Identified Path to Disposal .................................................... IV-4
I. Waste Characterization ............................................................................................ IV-5
(1) Data Quality Objectives .................................................................................. IV-5
(2) Minimum Waste Characterization .................................................................. IV-5
J. Waste Certification .................................................................................................. IV-5
(1) Certification Program...................................................................................... IV-5
(2) Certification Before Transfer .......................................................................... IV-6
(3) Maintaining Certification ................................................................................ IV-6
K. Waste Transfer ......................................................................................................... IV-6
(1) Authorization .................................................................................................. IV-6
(2) Data ................................................................................................................. IV-6
L. Packaging and Transportation.................................................................................. IV-6
(1) Packaging ........................................................................................................ IV-6
(2) Transportation ................................................................................................. IV-6
M. Site Evaluation and Facility Design ......................................................................... IV-7
(1) Site Evaluation ................................................................................................ IV-7
(2) Low-Level Waste Treatment and Storage Facility Design ............................. IV-7
(3) Low-Level Waste Disposal Facility Design ................................................... IV-8
viii DOE M 435.1-1
7-09-99
N. Storage and Staging ................................................................................................. IV-9
(1) Storage Prohibitions ........................................................................................ IV-9
(2) Storage Limit .................................................................................................. IV-9
(3) Storage Integrity.............................................................................................. IV-9
Section 10
(4) Waste Characterization for Storage ................................................................ IV-9
(5) Container Inspection ..................................................................................... IV-10
(6) Storage Management .................................................................................... IV-10
(7) Staging .......................................................................................................... IV-10
O. Treatment ............................................................................................................... IV-10
P. Disposal.................................................................................................................. IV-10
(1) Performance Objectives ................................................................................ IV-10
(2) Performance Assessment .............................................................................. IV-11
(3) Composite Analysis ...................................................................................... IV-12
(4) Performance Assessment and Composite Analysis Maintenance ................ IV-12
(5) Disposal Authorization ................................................................................. IV-13
(6) Disposal Facility Operations ......................................................................... IV-13
(7) Alternate Requirements for Low-Level Waste Disposal Facility Design and
Operation....................................................................................................... IV-14
Q. Closure ................................................................................................................... IV-14
(1) Disposal Facility Closure Plans .................................................................... IV-14
(2) Disposal Facility Closure .............................................................................. IV-15
R. Monitoring ............................................................................................................. IV-15
(1) All Waste Facilities ....................................................................................... IV-15
(2) Liquid Waste Storage Facilities .................................................................... IV-16
(3) Disposal Facilities ......................................................................................... IV-16
ATTACHMENT 1. DEFINITIONS
DOE M 435.1-1 I-1
7-09-99
CHAPTER I
GENERAL REQUIREMENTS AND RESPONSIBILITIES
1. REQUIREMENTS
A. Delegation of Authority. Managers charged with responsibilities within this
Manual may delegate authority for these tasks to another manager. All delegations
of authority shall be documented.
B. Use of Guidance. Additional information supporting the requirements in this
Manual is contained in the Implementation Guide for use with DOE M 435.1-1,
Radioactive Waste Management Manual. This Guide, DOE G 435.1-1,
Implementation Guide for DOE M 435.1-1, shall be reviewed when implementing
the requirements of this Manual. The Guide provides additional information and
acceptable methods for meeting the requirements. Other methods may be used but
must ensure an adequate level of safety commensurate with the hazards associated
with the work and be consistent with the radioactive waste management basis.
C. Radioactive Waste Management. All radioactive waste subject to DOE O 435.1,
Section 11
Radioactive Waste Management, and the requirements of this Manual shall be
managed as high-level waste, transuranic waste, low-level waste, or mixed low-level
waste.
D. Analysis of Environmental Impacts. Existing and proposed radioactive waste
management facilities, operations, and activities shall meet the requirements of 10
CFR Part 1021, National Environmental Policy Act Implementing Procedures; and
DOE O 451.1A , National Environmental Policy Act Compliance Program. All
reasonable alternatives shall be considered, as appropriate. Nothing in this Order is
meant to restrict consideration of alternatives to proposed actions.
E. Requirements of Other Regulations and DOE Directives. The following
requirements and DOE directives are required for all DOE radioactive waste
management facilities, operations, and activities as applicable. Any of the
requirements for the following Departmental directives may be waived or modified
through application of a DOE-approved requirements tailoring process, such as the
“Necessary and Sufficient Closure Process” in DOE P 450.3 and DOE M 450.3-1
and DOE P 450.4, Safety Management System Policy, or by an exemption processed
in accordance with the requirements of that directive or DOE M 251.1-1A,
Directives System Manual.
(1) Analysis of Operations Information. Data that measure the
environment, safety, and health performance of radioactive waste
management facilities, operations, and activities shall be identified,
I-2 DOE M 435.1-1
7-09-99
collected, and analyzed as required by DOE O 210.1, Performance
Indicators and Analysis of Operations Information.
(2) Classified Waste. Radioactive waste to which access has been limited for
national security reasons and cannot be declassified shall be managed in
accordance with the requirements of DOE 5632.1C, Protection and Control
of Safeguards and Security Interests, and DOE 5633.3B, Control and
Accountability of Nuclear Materials.
(3) Conduct of Operations. Radioactive waste management facilities,
operations, and activities shall be conducted in a manner based on
consideration of the associated hazards. Waste management facilities,
operations, and activities shall meet the requirements of DOE 5480.19,
Conduct of Operations Requirements for DOE Facilities.
(4) Criticality Safety. Radioactive waste management facilities, operations,
and activities shall be covered by a criticality safety program in accordance
with DOE O 420.1, Facility Safety.
(5) Emergency Management Program. Radioactive waste management
facilities, operations, and activities shall maintain an emergency
management program in accordance with DOE O 151.1, Comprehensive
Emergency Management System.
(6) Environmental and Occurrence Reporting. Radioactive waste
management facilities, operations, and activities shall meet the reporting
requirements of DOE O 231.1, Environment, Safety and Health Reporting,
and DOE O 232.1A, Occurrence Reporting and Processing of Operations
Information.
(7) Environmental Monitoring. Radioactive waste management facilities,
operations, and activities shall meet the environmental monitoring
requirements of DOE 5400.1, General Environmental Protection Program,
and DOE 5400.5, Radiation Protection of the Public and the Environment.
(8) Hazard Analysis Documentation and Authorization Basis.
Radioactive waste management facilities, operations, and activities shall
implement DOE Standards, DOE-STD-1027-92, Hazard Categorization
Section 12
and Accident Analysis Techniques for Compliance with DOE 5480.23,
Nuclear Safety Analysis Reports, and/or DOE-EM-STD-5502-94, DOE
Limited Standard: Hazard Baseline Documentation, and shall, as
applicable, prepare and maintain hazard analysis documentation and an
authorization basis as required by DOE O 425.1A , Startup and Restart of
Nuclear Facilities, DOE O 5480.21, Unreviewed Safety Questions, DOE
5480.22, Technical Safety Requirements, and DOE 5480.23, Nuclear
Safety Analysis Reports.
DOE M 435.1-1 I-3
7-09-99
(9) Life-Cycle Asset Management. Planning, acquisition, operation,
maintenance, and disposition of radioactive waste management facilities
shall be in accordance with DOE O 430.1A, Life-Cycle Asset Management,
and DOE 4330.4B , Maintenance Management Program , including a
configuration management process to ensure the integrity of physical assets
and systems. Corporate physical asset databases shall be maintained as
complete, current inventories of physical assets and systems to allow
reliable analysis of existing and potential hazards to the public and workers.
(10) Mixed Waste. Radioactive waste that contains both source, special
nuclear, or by-product material subject to the Atomic Energy Act of 1954, as
amended, and a hazardous component is also subject to the Resource
Conservation and Recovery Act (RCRA), as amended.
(11) Packaging and Transportation. Radioactive waste shall be packaged
and transported in accordance with DOE O 460.1A, Packaging and
Transportation Safety, and DOE O 460.2, Departmental Materials
Transportation and Packaging Management.
(12) Quality Assurance Program. Radioactive waste management facilities,
operations, and activities shall develop and maintain a quality assurance
program that meets the requirements of 10 CFR 830.120, Quality
Assurance Requirements, and DOE O 414.1, Quality Assurance, as
applicable.
(13) Radiation Protection. Radioactive waste management facilities,
operations, and activities shall meet the requirements of 10 CFR Part 835,
Occupational Radiation Protection, and DOE 5400.5, Radiation Protection
of the Public and the Environment.
(14) Records Management. Radioactive waste management facilities,
operations, and activities shall develop and maintain a record-keeping
system, as required by DOE O 200.1, Information Management Program,
and DOE O 414.1, Quality Assurance. Records shall be established and
maintained for radioactive waste generated, treated, stored, transported, or
disposed. To the extent possible, records prepared in response to other
requirements may be used to satisfy the documentation requirements of this
Manual. Additional records may be required to satisfy the regulations
applicable to the hazardous waste components of mixed waste.
(15) Release of Waste Containing Residual Radioactive Material.
Processes for determining and documenting that waste is suitable to be
released and managed without regard to its radioactive content shall be in
accordance with the criteria and requirements in DOE 5400.5, Radiation
Protection of the Public and the Environment.
I-4 DOE M 435.1-1
7-09-99
(16) Safeguards and Security. Appropriate features shall be incorporated into
the design and operation of radioactive waste management facilities,
operations, and activities to prevent unauthorized access and operations,
and for purposes of nuclear materials control and accountability, where
Section 13
applicable; and shall be consistent with DOE O 470.1, Safeguards and
Security Program.
(17) Safety Management System. Radioactive waste management facilities,
operations, and activities shall incorporate the principles of integrated
safety management as described in DOE P 450.4, Safety Management
System Policy, and DOE P 450.5, Line Environment, Safety and Health
Oversight, and meet the requirements of the safety management systems
sections of 48 CFR Chapter 9, Department of Energy Acquisition
Regulations and DOE M 411.1-1, Manual of Safety Management
Functions, Responsibilities, and Authorities.
(18) Site Evaluation and Facility Design. New radioactive waste
management facilities, operations, and activities shall be sited and designed
in accordance with DOE O 420.1, Facility Safety, and DOE O 430.1A,
Life-Cycle Asset Management.
(19) Training and Qualification. A training and qualification program shall
be implemented for radioactive waste management program personnel, and
shall meet the requirements of DOE O 360.1, Training, and DOE
5480.20A, Personnel Selection, Qualification, and Training Requirements
for DOE Nuclear Facilities.
(20) Waste Minimization and Pollution Prevention. Waste minimization
and pollution prevention shall be implemented for radioactive waste
management facilities, operations, and activities to meet the requirements
of Executive Order 12856, Federal Compliance with Right-to-Know Laws
and Pollution Prevention Requirements, and Executive Order 13101,
Greening the Government through Waste Prevention, Recycling, and
Federal Acquisition, and DOE 5400.1, General Environmental Protection
Program.
(21) Worker Protection. Radioactive waste management facilities,
operations, and activities shall meet the requirements of DOE O 440.1A,
Worker Protection Management for DOE Federal and Contractor
Employees.
2. RESPONSIBILITIES
A. Program Secretarial Officers. Program Secretarial Officers with radioactive waste
management facilities, operations, or activities are responsible, within their
DOE M 435.1-1 I-5
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respective programs for ensuring that the Field Element Managers meet the
requirements of DOE O 435.1, Radioactive Waste Management, and this Manual.
B. Assistant Secretary for Environmental Management. The Assistant Secretary for
Environmental Management is responsible for:
(1) Complex-Wide Radioactive Waste Management Programs.
Establishing and maintaining integrated Complex-Wide Radioactive Waste
Management Programs for high-level, transuranic, low-level, and mixed
low-level waste. These programs shall use a systematic approach to
planning, execution, and evaluation to ensure that waste generation,
storage, treatment, and disposal needs are met and coordinated across the
DOE complex.
(2) Changes to Regulations and DOE Directives. Ensuring changes to
regulations and DOE directives are reviewed and, when necessary,
incorporated into revisions of this Manual to ensure the basis for safe
radioactive waste management facilities, operations, and activities is
maintained.
C. Assistant Secretary for Environment, Safety, and Health. The Assistant Secretary
for Environment, Safety and Health is responsible for providing an independent
overview of DOE radioactive waste management and decommissioning programs to
determine compliance with DOE environment, safety, and health requirements and
applicable Environmental Protection Agency (EPA) and state regulations, including:
Section 14
(1) Advising the Secretary of the status of Departmental compliance with the
requirements of DOE O 435.1, this Manual, and applicable provisions of
other DOE Orders.
(2) Conducting independent appraisals and audits of DOE waste management
programs
(3) Reviewing site Waste Management Plans with regard to compliance with
DOE environment, safety, and health requirements.
D. Deputy Assistant Secretary for Waste Management. The Deputy Assistant
Secretary for Waste Management is responsible for:
(1) Complex-Wide Radioactive Waste Management Program Plans.
Developing, implementing, and maintaining integrated Complex-Wide
Radioactive Waste Management Program Plans for high-level, transuranic,
low-level, and mixed low-level waste. Each plan shall, at the DOE
complex-wide level, describe the functional elements, organizations,
responsibilities, and activities that comprise the system needed to store,
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treat and dispose of radioactive waste in a manner that is protective of the
public, workers, and the environment. In addition, the plans shall:
(a) Present a waste management strategy that integrates waste
projections and life-cycle waste management planning into
complex-wide facility configuration decisions; and
(b) Describe the approach to research and technology development being
pursued to improve safety and/or efficiency in managing radioactive
waste.
(2) Waste Management Data System. Establishing and maintaining a
system to compile waste generation projection data and other information
concerning radioactive waste management facilities, operations, and
activities across the complex.
E. Deputy Assistant Secretaries for Waste Management and Environmental
Restoration. The Deputy Assistant Secretary for Waste Management and the
Deputy Assistant Secretary for Environmental Restoration are responsible for the
following activities for facilities under their purview:
(1) Disposal. Reviewing and approving, along with EH-1, transuranic waste
disposal facility performance assessments and other disposal documents as
required in waste specific chapters for which DOE is responsible for
making compliance determinations. Reviewing and approving
performance assessments and composite analyses, or appropriate CERCLA
documentation, for low-level waste disposal facilities, and issuing disposal
authorization statements.
(a) The Deputy Assistant Secretaries shall establish a review panel
consisting of DOE personnel to review low-level waste disposal
facility performance assessments and composite analyses, review
appropriate CERCLA documentation, recommend low-level waste
disposal facility compliance determinations to the Deputy Assistant
Secretaries and develop disposal authorization statements.
(b) The Deputy Assistant Secretaries shall issue disposal authorization
statements containing conditions that low-level waste disposal
facilities must meet in order to operate with an approved radioactive
waste management basis.
(2) Site Closure Plans. Reviewing and approving closure plans and other
closure documentation for deactivated high-level waste facilities/sites and
issuing authorization for closure activities to proceed.
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F. Field Element Managers. Field Element Managers are responsible for:
(1) Site-Wide Radioactive Waste Management Programs. Developing,
documenting, implementing, and maintaining a Site-Wide Radioactive
Section 15
Waste Management Program. The Program shall use a systematic
approach for planning, executing, and evaluating the site-wide management
of radioactive waste in a manner that supports the Complex-Wide
Radioactive Waste Management Programs and ensures that the
requirements of DOE O 435.1, Radioactive Waste Management, and this
Manual are met.
(2) Radioactive Waste Management Basis. Ensuring a radioactive waste
management basis is developed and maintained for each DOE radioactive
waste management facility, operation, and activity; and ensuring review
and approval of the basis before operations begin. The Radioactive Waste
Management Basis shall:
(a) Reference or define the conditions under which the facility may
operate based on the radioactive waste management documentation;
(b) Include the applicable elements identified in the specific waste-type
chapters of this Manual; and
(c) Be developed using the graded approach process.
(3) Waste Minimization and Pollution Prevention. Ensuring
implementation of waste minimization and pollution prevention programs.
(4) Approval of Exemptions for Use of Non-DOE Facilities. DOE waste
shall be treated, stored, and in the case of low-level waste, disposed of at the
site where the waste is generated, if practical; or at another DOE facility.
If DOE capabilities are not practical or cost effective, exemptions may be
approved to allow use of non-DOE facilities for the storage, treatment, or
disposal of DOE radioactive waste based on the following requirements:
(a) Such non-DOE facilities shall:
1. Comply with applicable Federal, State, and local
requirements;
2. Have the necessary permit(s), license(s), and
approval(s) for the specific waste(s); and
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3. Be determined by the Field Element Manager to be
acceptable based on a review conducted annually by
DOE.
(b) Exemptions for the use of non-DOE facilities shall be
documented to be cost effective and in the best interest of
DOE, including consideration of alternatives for on-site
disposal, an alternative DOE site, and available non-DOE
facilities; consideration of life-cycle cost and potential
liability; and protection of public health and the environment.
(c) DOE waste shall be sufficiently characterized and certified to
meet the facility’s waste acceptance criteria.
(d) Appropriate National Environmental Policy Act (NEPA)
review must be completed. For actions taken under the
Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA), it is DOE’s policy to incorporate
NEPA values into the CERCLA documentation.
(e) The Office of Health, Safety and Security, the Office of
Environmental Management, and the Program Secretarial
Officer shall be notified of the basis for using any non-DOE
radioactive waste disposal facility prior to the use of such
facilities.
(f) Host States and State Compacts where non-DOE facilities are
located shall be consulted prior to approval of an exemption to
use such facilities and notified prior to shipments being made.
(5) Environmental Restoration, Decommissioning, and Other Cleanup
Waste. Ensuring the management and disposal of radioactive waste
resulting from environmental restoration activities, including
decommissioning, meet the substantive requirements of DOE O 435.1,
Radioactive Waste Management, and this Manual. Environmental
restoration activities using the CERCLA process (in accordance with
Section 16
Executive Order 12580) may demonstrate compliance with the substantive
requirements of DOE O 435.1, Radioactive Waste Management, and this
Manual (including the Performance Assessment and performance
objectives, as well as the Composite Analysis) through the CERCLA
process. However, compliance with all substantive requirements of DOE
O 435.1 not met through the CERCLA process must be demonstrated.
Environmental restoration activities which will result in the off-site
management and disposal of radioactive waste must meet the applicable
requirements of DOE O 435.1, Radioactive Waste Management, and this
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Manual for the management and disposal of those off-site wastes. Field
Elements performing environmental restoration activities involving
development and management of radioactive waste disposal facilities under
the CERCLA process shall:
(a) Submit certification to the Deputy Assistant Secretary for
Environmental Restoration that compliance with the substantive
requirements of DOE O 435.1 have been met through application of
the CERCLA process; and
(b) Submit the decision document, such as the Record of Decision, or any
other document that serves as the authorization to dispose, to the
Deputy Assistant Secretary for Environmental Restoration for
approval.
(6) Radioactive Waste Acceptance Requirements. Ensuring development,
review, approval, and implementation of the radioactive waste acceptance
requirements for facilities that receive waste for storage, treatment, or
disposal. Radioactive waste acceptance requirements shall establish the
facility’s requirements for the receipt, evaluation, and acceptance of waste.
(7) Radioactive Waste Generator Requirements. Ensuring development,
review, approval, and implementation of a program for waste generation
planning, characterization, certification, and transfer. This program shall
address characterization of waste, preparation of waste for transfer,
certification that waste meets the receiving facility’s radioactive waste
acceptance requirements, and transfer of waste.
(8) Closure Plans. Ensuring development, review, approval, and
implementation of closure plans for radioactive waste management
facilities in accordance with the applicable requirements in the waste-type
chapters of this Manual.
(9) Defense-In-Depth. Ensuring defense-in-depth principles are incorporated
where potential uncertainties or vulnerabilities warrant their use when
reviewing and approving radioactive waste management activities and
documents. These principles advocate the use of multiple levels of
engineered and administrative controls to provide protection to the public,
workers, and the environment.
(10) Oversight. Ensuring oversight of radioactive waste management
facilities, operations, and activities is conducted. Oversight shall ensure
radioactive waste management program activities are conducted in
accordance with a radioactive waste management basis and meet the
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requirements of DOE O 435.1, Radioactive Waste Management, and this
Manual.
(11) Training and Qualification. Ensuring a training and qualification
program is implemented for designated radioactive waste management
program personnel, and the training is commensurate with job duties and
responsibilities. Only those personnel who have been trained and qualified
shall design or operate safety (safety class and safety significant) structures,
Section 17
systems, and components.
(12) As Low As Reasonably Achievable (ALARA). Ensuring ALARA
principles for radiation protection are incorporated when reviewing and
approving radioactive waste management activities.
(13) Storage. Ensuring all radioactive waste is stored in a manner that protects
the public, workers, and the environment in accordance with a radioactive
waste management basis, and that the integrity of waste storage is
maintained for the expected time of storage and does not compromise
meeting the disposal performance objectives for protection of the public
and environment when the waste is disposed.
(14) Treatment. Ensuring all radioactive waste requiring treatment is treated
in a manner that protects the public, workers, and the environment and in
accordance with a radioactive waste management basis.
(15) Disposal. Ensuring radioactive waste is disposed in a manner that protects
the public, workers, and the environment and in accordance with a
radioactive waste management basis. Reviewing specific transuranic or
low-level waste documentation including the performance assessment and
composite analysis, or appropriate CERCLA documentation, prior to
forwarding them to Headquarters for approval, and obtaining and ensuring
the facility is operated in accordance with the disposal authorization
statement. Conducting performance assessment and composite analysis
maintenance.
(16) Monitoring. Ensuring monitoring is conducted for all radioactive waste
management facilities as required. Ensuring that disposal facilities are
monitored, as appropriate, for compliance with conditions of the disposal
authorization statement.
(17) Material and Waste Declassification for Waste Management.
Ensuring, to the extent practical, radioactive material and waste generated
under a program that is classified for national security reasons is
declassified or rendered suitable for unclassified radioactive waste
management.
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(18) Waste Incidental to Reprocessing. Ensuring that waste incidental to
reprocessing determinations are made by either the “citation” or
“evaluation” process described in Chapter II of this Manual. Ensuring
consultation and coordination with the Office of Environmental
Management for waste determined to be incidental to reprocessing through
the “evaluation” process.
(19) Waste With No Identified Path to Disposal. Ensuring a process is
developed and implemented for identifying the generation of radioactive
waste with no identified path to disposal, and reviewing and approving
conditions under which radioactive waste with no identified path to disposal
may be generated. Headquarters shall be notified of the decisions to
generate a waste with no identified path to disposal.
(20) Corrective Actions. Ensuring a process exists for proposing, reviewing,
approving, and implementing corrective actions when necessary to ensure
that the requirements of DOE O 435.1, Radioactive Waste Management,
and this Manual are met, and to address conditions that are not protective of
the public, workers, or the environment. The process shall allow workers,
through the appropriate level of management, to stop or curtail work when
they discover conditions that pose an imminent danger or other serious
hazard to workers or the public, or are not protective of the environment.
G. All Personnel. All personnel are responsible for:
Section 18
(1) Problem Identification. Identifying and reporting radioactive waste
management facilities, operations, or activities that do not meet the
requirements of DOE O 435.1, Radioactive Waste Management, and this
Manual, or that pose a threat to the safety of the public, workers, or the
environment.
(2) Shutdown or Curtailment of Activities. Stopping or curtailing work,
through the appropriate level of management, to prohibit continuation of
conditions or activities which pose an imminent danger or other serious
hazard to workers or the public, or are not protective of the environment.
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CHAPTER II
HIGH-LEVEL WASTE REQUIREMENTS
A. Definition of High-Level Waste. High-level waste is the highly radioactive waste
material resulting from the reprocessing of spent nuclear fuel, including liquid waste
produced directly in reprocessing and any solid material derived from such liquid
waste that contains fission products in sufficient concentrations; and other highly
radioactive material that is determined, consistent with existing law, to require
permanent isolation.
B. Waste Incidental to Reprocessing. Waste resulting from reprocessing spent nuclear
fuel that is determined to be incidental to reprocessing is not high-level waste, and
shall be managed under DOE’s regulatory authority in accordance with the
requirements for transuranic waste or low-level waste, as appropriate. When
determining whether spent nuclear fuel reprocessing plant wastes shall be managed
as another waste type or as high-level waste, either the citation or evaluation process
described below shall be used:
(1) Citation. Waste incidental to reprocessing by citation includes spent
nuclear fuel reprocessing plant wastes that meet the description included in
the Notice of Proposed Rulemaking (34 FR 8712) for proposed Appendix
D, 10 CFR Part 50, Paragraphs 6 and 7. These radioactive wastes are the
result of reprocessing plant operations, such as, but not limited to:
contaminated job wastes including laboratory items such as clothing, tools,
and equipment.
(2) Evaluation. Determinations that any waste is incidental to reprocessing
by the evaluation process shall be developed under good record-keeping
practices, with an adequate quality assurance process, and shall be
documented to support the determinations. Such wastes may include, but
are not limited to, spent nuclear fuel reprocessing plant wastes that:
(a) Will be managed as low-level waste and meet the following criteria:
1. Have been processed, or will be processed, to remove key
radionuclides to the maximum extent that is technically and
economically practical; and
2. Will be managed to meet safety requirements comparable to
the performance objectives set out in 10 CFR Part 61, Subpart
C, Performance Objectives; and
3. Are to be managed, pursuant to DOE’s authority under the
Atomic Energy Act of 1954, as amended, and in accordance
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with the provisions of Chapter IV of this Manual, provided the
waste will be incorporated in a solid physical form at a
concentration that does not exceed the applicable
concentration limits for Class C low-level waste as set out in
10 CFR 61.55, Waste Classification; or will meet alternative
requirements for waste classification and characterization as
DOE may authorize.
(b) Will be managed as transuranic waste and meet the following criteria:
1. Have been processed, or will be processed, to remove key
Section 19
radionuclides to the maximum extent that is technically and
economically practical; and
2. Will be incorporated in a solid physical form and meet
alternative requirements for waste classification and
characteristics, as DOE may authorize; and
3. Are managed pursuant to DOE’s authority under the Atomic
Energy Act of 1954, as amended, in accordance with the
provisions of Chapter III of this Manual, as appropriate.
C. Management of Specific Wastes. The following provide for management of
specific wastes as high-level waste in accordance with the requirements in this
Chapter:
(1) Mixed High-Level Waste. Unless demonstrated otherwise, all high-level
waste shall be considered mixed waste and is subject to the requirements of
both the Atomic Energy Act of 1954, as amended, the Resource
Conservation and Recovery Act, as amended, DOE O 435.1, Radioactive
Waste Management, and this Manual.
(2) TSCA-Regulated Waste. High-level waste containing polychlorinated
biphenyls, asbestos, or other such regulated toxic components shall be
managed in accordance with requirements derived from the Toxic
Substances Control Act, as amended, DOE O 435.1, Radioactive Waste
Management, and this Manual.
D. Complex-Wide High-Level Waste Management Program. A complex-wide
program and plan shall be developed as described under Responsibilities, 2.B and
2.D, in Chapter I of this Manual.
E. Site-Wide Radioactive Waste Management Program. In addition to the items in
Chapter I of this Manual, documentation of the Site-Wide Radioactive Waste
Management Program shall include a description of the High-Level Waste Systems
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Engineering Management Program to support decision-making related to nuclear
safety, including high-level waste requirements analysis, functional analysis and
allocation, identification of alternatives, and alternative selection and system control.
F. Radioactive Waste Management Basis. High-level waste facilities, operations, and
activities shall have a radioactive waste management basis consisting of physical and
administrative controls to ensure the protection of workers, the public, and the
environment. The following specific waste management controls shall be part of
the radioactive waste management basis:
(1) Generators. The waste certification program.
(2) Pretreatment and Treatment Facilities. The waste acceptance
requirements and waste certification program.
(3) Storage Facilities. The waste acceptance requirements and the waste
certification program.
G. Quality Assurance Program. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Product Quality. The requirements of RW-0333P, Quality Assurance
Requirements and Description, shall apply to those high-level waste items
and activities important to waste acceptance/product quality.
(2) Audits and Assessments. The evaluation and assessment requirements of
RW–0333P, Quality Assurance Requirements Document and Description,
and associated implementing procedures shall be met for high-level waste
acceptance and product quality activities, in addition to the assessment
requirements of other DOE directives and requirements identified in
Chapter I of this Manual.
H. Contingency Actions. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Contingency Storage. For off-normal or emergency situations involving
high-level waste storage or treatment, spare capacity with adequate
Section 20
capabilities shall be maintained to receive the largest volume of waste
contained in any one storage vessel, pretreatment facility, or treatment
facility. Tanks or other facilities that are designated for high-level waste
contingency storage shall be maintained in an operational condition when
waste is present and shall meet all the requirements of DOE O 435.1,
Radioactive Waste Management, and this Manual.
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(2) Transfer Equipment. Pipelines and auxiliary facilities necessary for the
transfer of waste to contingency storage shall be maintained in an
operational condition when waste is present and shall meet the requirements
of DOE O 435.1, Radioactive Waste Management, and this Manual.
I. Corrective Actions. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Order Compliance. Corrective actions shall be implemented whenever
necessary to ensure the requirements of DOE O 435.1, Radioactive Waste
Management, and this Manual are met.
(2) Operations Curtailment. Operations shall be curtailed or facilities shut
down for failure to establish, maintain, or operate consistent with an
approved radioactive waste management basis.
J. Waste Acceptance. The following requirements are in addition to those in Chapter I
of this Manual.
(1) Technical and Administrative. Waste acceptance requirements for all
high-level waste storage, pretreatment, or treatment facilities, operations,
and activities shall specify, at a minimum, the following:
(a) Allowable activities and/or concentrations of specific radionuclides;
(b) Acceptable waste form that ensures the chemical and physical
stability of the waste under conditions that might be encountered
during transfer, storage, pretreatment, or treatment;
(c) The basis, procedures, and levels of authority required for granting
exceptions to the waste acceptance requirements, which shall be
contained in each facility’s waste acceptance documentation. Each
exception request shall be documented, including its disposition as
approved or not approved; and
(d) Pretreatment, treatment, storage, packaging, and other operations
shall be designed and implemented in a manner that will ultimately
comply with DOE/EM-0093, Waste Acceptance Product
Specifications for Vitrified High-Level Waste Forms, or
DOE/RW-0351P, Waste Acceptance System Requirements
Document, for non-vitrified, immobilized high-level waste.
(2) Evaluation and Acceptance. The receiving facility shall evaluate waste
for acceptance, including confirmation that the technical and administrative
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requirements have been met. A process for the disposition of
non-conforming wastes shall be established.
K. Waste Generation Planning. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Life-Cycle Planning. Prior to waste generation, planning shall be
performed to address the entire life cycle for all high-level waste streams.
(2) Waste With No Identified Path to Disposal. High-level waste streams
with no identified path to disposal shall be generated only in accordance
with approved conditions which, at a minimum, shall address:
(a) Programmatic need to generate the waste;
(b) Characteristics and issues preventing the disposal of the waste;
(c) Safe storage of the waste until disposal can be achieved; and
(d) Activities and plans for achieving final disposal of the waste
Section 21
(compliance with DOE/EM-0093, Waste Acceptance Product
Specifications for Vitrified High-Level Waste Forms).
L. Waste Characterization. High-level waste shall be characterized using direct or
indirect methods, and the characterization documented in sufficient detail to ensure
safe management and compliance with the waste acceptance requirements of the
facility receiving the waste.
(1) Data Quality Objectives. The data quality objectives process, or a
comparable process, shall be used for identifying characterization
parameters and acceptable uncertainty in characterization data.
(2) Minimum Waste Characterization. Characterization data shall, at a
minimum, include the following information relevant to the management of
the waste:
(a) Physical and chemical characteristics;
(b) Volume, including the waste and any solidification media;
(c) Radionuclides or source information sufficient to describe the
approximate radionuclide content of the waste; and
(d) Any other information which may be needed to demonstrate
compliance with the requirements of the DOE/EM-0093, Waste
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Acceptance Product Specifications for Vitrified High-Level Waste
Forms, or DOE/RW-0351P, Waste Acceptance System Requirements
Document, for non-vitrified, immobilized high-level waste.
(3) Hazardous Characteristics. Waste characterization processes shall yield
sufficient chemical and physical data to clearly identify any hazardous
characteristics that may degrade the ability of structures, systems, and
components to perform their radioactive waste management function.
M. Waste Certification. A waste certification program shall be developed,
documented, and implemented to ensure that the waste acceptance requirements of
facilities receiving high-level waste for storage, pretreatment, treatment, and
disposal are met.
(1) Certification Program. The waste certification program shall designate
the officials who have the authority to certify and release waste for
shipment; and specify what documentation is required for waste generation,
characterization, shipment, and certification. The program shall provide
requirements for auditability, retrievability, and storage of required
documentation and specify the records retention period.
(2) Certification Before Transfer. High-level waste shall be certified as
meeting the waste acceptance requirements before it is transferred to the
facility receiving the waste.
(3) Maintaining Certification. High-level waste that has been certified as
meeting the waste acceptance requirements for transfer to a storage,
pretreatment, treatment, or disposal facility shall be managed in a manner
that maintains its certification status.
N. Waste Transfer. The following requirements are in addition to those in Chapter I of
this Manual.
(1) Authorization. High-level waste shall not be transferred to a storage,
treatment, or disposal facility until personnel responsible for the facility
receiving the waste authorize the transfer.
(2) Data. Waste characterization data and generation, storage, pretreatment,
treatment, and transportation information for high-level waste shall be
transferred with or be traceable to the waste.
(3) Records and Transfer Reporting. The records and transfer requirements
for canistered high-level waste forms shall comply with DOE/EM-0093,
Waste Acceptance Product Specification for Vitrified High-Level Waste
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Section 22
Forms, or DOE/RW-0351P, Waste Acceptance System Requirements
Document, for non-vitrified, immobilized high-level waste.
O. Packaging and Transportation. The following requirement is in addition to those in
Chapter I of this Manual.
(1) Canistered Waste Form. Immobilized high-level waste shall meet the
requirements of the DOE/EM-0093, Waste Acceptance Product
Specifications for Vitrified High-Level Waste Forms, or DOE/RW-0351P,
Waste Acceptance System Requirements Document, for non-vitrified,
immobilized high-level waste.
P. Site Evaluation and Facility Design. The following requirements are in addition to
those in Chapter I of this Manual.
(1) Site Evaluation. Proposed locations for high-level waste facilities shall
be evaluated to identify relevant features that should be avoided or must be
considered in facility design and analyses.
(a) Each site proposed for a new high-level waste facility or expansion of
an existing high-level waste facility shall be evaluated considering
environmental characteristics, geotechnical characteristics, and
human activities.
(b) Proposed sites with environmental characteristics, geotechnical
characteristics, or human activities for which adequate protection
cannot be provided through facility design shall be deemed unsuitable
for the location of the facility.
(2) Facility Design. The following facility design requirements, at a
minimum, apply:
(a) Safety (Safety Class and Safety-Significant) Structures, Systems,
and Components. Safety structures, systems, and components for
high-level waste storage, pretreatment, and treatment facilities shall
be designated and designed consistent with the provisions of DOE O
420.1, Facility Safety; DOE 5480.22, Technical Safety Requirements;
and DOE 5480.23, Nuclear Safety Analysis Reports.
(b) Confinement. High-level waste systems and components shall be
designed to maintain waste confinement. The following
requirements apply to new or modifications to existing high-level
waste systems, ancillary systems, and components:
1. Secondary confinement systems shall be designed to prevent
any migration of wastes or accumulated liquid out of the
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waste system; shall be capable of detecting, collecting, and
retrieving releases into the secondary confinement; and shall
be constructed of, or lined with, materials that are compatible
with the waste(s) to be placed in the waste system.
2. Tank and piping systems used for high-level waste collection,
pretreatment, treatment, and storage shall be welded
construction, except where remote configurations or periodic
rerouting of high-level waste streams require non-welded
construction.
(c) Lifting Devices. The design of hoisting and rigging devices shall
comply with the following specific requirements.
1. Lifting devices that are designated as safety class or safety
significant shall be designed to prevent free fall of loads.
2. Loading and unloading systems for lifting devices that are
designated as safety class or safety significant shall be
designed with a reliable system of interlocks that will fail
safely upon malfunction.
(d) Ventilation.
1. Design of high-level waste pretreatment, treatment, and
storage facilities shall include ventilation through an
appropriate filtration system to maintain the release of
radioactive material in airborne effluents within the
applicable requirements.
2. When conditions exist for generating gases in flammable and
Section 23
explosive concentrations, ventilation systems or other
measures shall be provided to keep the gases in a
non-flammable and non-explosive condition. Where
concentrations of explosive or flammable gases are expected
to approach the lower flammability limit, measures shall be
taken to prevent deflagration or detonation.
(e) Consideration of Decontamination and Decommissioning. Areas
in new and modifications to existing high-level waste management
facilities that are subject to contamination with radioactive or other
hazardous materials shall be designed to facilitate decontamination.
For such facilities a proposed decommissioning method or a
conversion method leading to reuse shall be described.
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(f) Maintenance Exposure Reduction. Remote maintenance features
and other appropriate techniques to maintain as low as reasonably
achievable (ALARA) personnel exposures shall be incorporated into
each high-level waste facility.
(g) Facilities for Receipt and Retrieval of High-Level Waste.
1. Designs for storage facilities shall incorporate features to
facilitate retrieval capability.
2. High-level waste receipt and retrieval systems shall be
designed to complement the existing storage facilities for safe
storage and transfer of high-level waste.
(h) Structural Integrity. Designs for new tanks shall contribute to the
confinement requirement at Section II.P.(2)(b) of this Manual by:
1. Incorporating features to avoid critical degradation modes at
the proposed site where practicable, or minimize degradation
rates for the critical modes; and
2. Incorporating features to facilitate execution of the Structural
Integrity Program required by Section II.Q.(2) of this Manual.
(i) Instrumentation and Control Systems. Engineering controls shall
be incorporated in the design and engineering of high-level waste
treatment storage, pretreatment, and treatment facilities to provide
volume inventory data and to prevent spills, leaks and overflows from
tanks or confinement systems.
(j) Volume Monitoring Systems. Monitoring and/or leak detection
capabilities shall be incorporated in the design and engineering of
high-level waste storage, pretreatment, and treatment facilities to
provide rapid detection of failed confinement and/or other abnormal
conditions.
Q. Storage. The following requirements are in addition to those in Chapter I of this
Manual and also apply to facilities intended for management of high-level waste
awaiting pretreatment, treatment or disposal, unless stated otherwise.
(1) Operation of Confinement Systems.
(a) Confinement systems shall be operated and maintained so as to
preserve the design basis.
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(b) Secondary confinement systems, where provided, shall be operated to
prevent any migration of wastes or accumulated liquid out of the
waste confinement systems.
(2) Structural Integrity Program.
(a) Leak-Tight Tanks In-Service. A structural integrity program shall
be developed for each high-level waste storage tank site to verify the
structural integrity and service life of each tank to meet operational
requirements for storage capacity. The program shall be capable of:
1. Verifying the current leak-tightness and structural strength of
each tank in service;
2. Identifying corrosion, fatigue, and other critical degradation
modes;
3. Adjusting the chemistry of tank waste, calibrating cathodic
protection systems, wherever employed, and implementing
Section 24
other necessary corrosion protection measures;
4. Providing credible projections as to when structural integrity
of each tank can no longer be assured; and
5. Identifying the additional controls necessary to maintain an
acceptable operating envelope.
(b) In-Service Tanks that Have Leaked or Are Suspect. For each
high-level waste storage tank in-service that is known to have leaked,
or is suspect, a modified structural integrity program shall be
developed and implemented to identify the safe operational envelope.
The modified program shall be capable of:
1. Verifying the structural strength of each tank in-service which
has leaked or is suspect;
2. Identifying corrosion, fatigue and other critical degradation
modes;
3. Adjusting the chemistry of tank waste, calibrating cathodic
protection systems, wherever employed, and implementing
other necessary corrosion protection measures;
4. Determining which of the tanks that have leaked or are
suspect may remain in service by identifying an acceptable
safe operating envelope;
DOE M 435.1-1 II-11
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5. Providing credible projections as to when the acceptable safe
operational envelope can no longer be assured; and
6. Identifying the additional controls necessary to maintain the
acceptable safe operational envelope.
When physical activities, as part of a structural integrity program,
pose additional vulnerabilities, alternative measures shall be
implemented to provide an acceptable storage operational envelope.
(c) Other Storage Components. The structural integrity of other
storage components shall be verified to assure leak tightness and
structural strength.
(3) Canistered Waste Form Storage. Canisters of immobilized high-level
waste awaiting shipment to a repository shall be:
(a) Stored in a suitable facility;
(b) Segregated and clearly identified to avoid commingling with
low-level, mixed low-level, or transuranic wastes; and
(c) Monitored to ensure that storage conditions are consistent with
DOE/EM–0093, Waste Acceptance Product Specifications for
Vitrified High-level Waste Forms, or DOE/RW-0351, Waste
Acceptance System Requirements Document, for non-vitrified
immobilized high-level waste. Facilities and operating procedures
for storage of vitrified high-level waste shall maintain the integrity of
the canistered waste form.
R. Treatment. Treatment shall be designed and implemented in a manner that will
ultimately comply with DOE/EM–0093, Waste Acceptance Product Specifications
for Vitrified High-level Waste Forms, or DOE/RW-0351P, Waste Acceptance System
Requirements Document, for non-vitrified, immobilized high-level waste.
S. Disposal. Disposal of high-level waste must be in accordance with the provisions of
the Atomic Energy Act of 1954, as amended, the Nuclear Waste Policy Act of 1982,
as amended, or any other applicable statutes.
T. Monitoring. High-level waste pretreatment, treatment, storage, and transportation
facilities shall be monitored for chemical, physical, radiological, structural, and other
changes that could indicate failure of system confinement, integrity, or safety, and
which could lead to abnormal events or accidents. Parameters that shall be sampled
or monitored, at a minimum, include: temperature, pressure (for closed systems),
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radioactivity in ventilation exhaust and liquid effluent streams, flammable or
explosive mixtures of gases, level and/or waste volume, and significant waste
Section 25
chemistry parameters for non-immobilized high-level waste. Facility monitoring
programs shall also include physical inspections to verify that control systems have
not failed.
U. Closure. The following requirements for closure of deactivated high-level waste
facilities and sites are in addition to those in Chapter I of this Manual.
(1) Decommissioning. Deactivated high-level waste facilities/sites shall meet
the decommissioning requirements of DOE O 430.1A, Life-Cycle Asset
Management and the requirements of DOE 5400.5, Radiation Protection of
the Public and the Environment, for release; or
(2) CERCLA Process. Deactivated high-level waste facilities/sites shall be
closed in accordance with the CERCLA process as described in Section
I.2.F.(5); or
(3) Closure. Deactivated high-level waste facilities/sites shall be closed in
accordance with an approved closure plan as specified below. Residual
radioactive waste present in facilities to be closed shall satisfy the waste
incidental to reprocessing requirements of this Chapter.
(a) Facility/Site Closure Plans. A closure plan shall be developed for
each deactivated high-level waste facility/site being closed that
defines the approach and plans by which closure of each facility
within the site is to be accomplished. This plan shall be completed
and approved prior to the initiation of physical closure activities, and
updated periodically to reflect current analysis and status of
individual facility closure actions. The plan shall include, at a
minimum, the following elements:
1. Identification of the closure standards/performance objectives
to be applied from Chapter III or IV, as appropriate;
2. A strategy for allocating waste disposal facility performance
objectives from the closure standards identified in the closure
plan among the facilities/units to be closed at the site;
3. An assessment of the projected performance of each unit to be
closed relative to the performance objectives allocated to each
unit under the closure plan;
4. An assessment of the projected composite performance of all
units to be closed at the site relative to the performance
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objectives and closure standards identified in the closure plan;
and
5. Any other relevant closure controls including a monitoring
plan, institutional controls, and land use limitations to be
maintained in the closure activity.
V. Specific Operations. Specific requirements are provided for the operation of lifting
devices and facilities for receipt and retrieval of high-level waste.
(1) Operation of Lifting Devices. Hoisting and rigging activities shall be
conducted in accordance with the guidance provided in the DOE Standard
“Hoisting and Rigging” (DOE-STD-1090-96).
(2) Operation of Facilities for Receipt and Retrieval of High-Level Waste.
High-level waste receipt and retrieval systems shall be operated and
maintained consistent with high-level waste system features incorporated in
the facilities. Strategies for retrieval of waste shall be analyzed to ensure
that structural and radiological impacts are consistent with the facility
design basis.
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DOE M 435.1-1 III-1
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CHAPTER III
TRANSURANIC WASTE REQUIREMENTS
A. Definition of Transuranic Waste. Transuranic waste is radioactive waste containing
more than 100 nanocuries (3700 becquerels) of alpha-emitting transuranic isotopes
Section 26
per gram of waste, with half-lives greater than 20 years, except for:
(1) High-level radioactive waste;
(2) Waste that the Secretary of Energy has determined, with the concurrence of
the Administrator of the Environmental Protection Agency, does not need
the degree of isolation required by the 40 CFR Part 191 disposal
regulations; or
(3) Waste that the Nuclear Regulatory Commission has approved for disposal
on a case-by-case basis in accordance with 10 CFR Part 61.
B. Management of Specific Wastes. The following provide for management of
specific wastes as transuranic waste in accordance with the requirements in this
Chapter:
(1) Mixed Transuranic Waste. Transuranic waste determined to contain
both a hazardous component subject to the Resource Conservation and
Recovery Act (RCRA), as amended, and a radioactive component subject to
the Atomic Energy Act of 1954, as amended, shall be managed in
accordance with the requirements of RCRA and DOE O 435.1, Radioactive
Waste Management, and this Manual.
(2) TSCA-Regulated Waste. Transuranic waste containing polychlorinated
biphenyls, asbestos, or other such regulated toxic components shall be
managed in accordance with requirements derived from the Toxic
Substances Control Act, as amended, DOE O 435.1, Radioactive Waste
Management, and this Manual.
(3) Pre-1970 Transuranic Waste. Transuranic waste disposed of prior to
implementation of the 1970 Atomic Energy Commission Immediate Action
Directive regarding retrievable storage of transuranic waste is not subject to
the requirements of DOE O 435.1, Radioactive Waste Management, and
this Manual.
C. Complex-Wide Transuranic Waste Management Program. A complex-wide
program and plan shall be developed as described under Responsibilities, 2.B and
2.D, in Chapter I of this Manual.
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D. Radioactive Waste Management Basis. Transuranic waste facilities, operations,
and activities shall have a radioactive waste management basis consisting of physical
and administrative controls to ensure the protection of workers, the public, and the
environment. The following specific waste management controls shall be part of
the radioactive waste management basis:
(1) Generators. The waste certification program.
(2) Treatment Facilities. The waste acceptance requirements and the waste
certification program.
(3) Storage Facilities. The waste acceptance requirements and the waste
certification program.
(4) Disposal Facilities. The performance assessment, disposal authorization
statement, waste acceptance requirements, and monitoring plan.
E. Contingency Actions. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Contingency Storage. For off-normal or emergency situations involving
liquid transuranic waste storage or treatment, spare capacity with adequate
capabilities shall be maintained to receive the largest volume of liquid
contained in any one storage tank or treatment facility. Tanks or other
facilities that are designated transuranic waste contingency storage shall be
maintained in an operational condition when waste is present and shall meet
the requirements of DOE O 435.1, Radioactive Waste Management, and
this Manual.
(2) Transfer Equipment. Pipelines and auxiliary facilities necessary for the
transfer of liquid waste to contingency storage shall be maintained in an
operational condition when waste is present and shall meet the requirements
Section 27
of DOE O 435.1, Radioactive Waste Management, and this Manual.
F. Corrective Actions. The following requirements are in addition to those in Chapter
I of this Manual.
(1) Order Compliance. Corrective actions shall be implemented whenever
necessary to ensure the requirements of DOE O 435.1, Radioactive Waste
Management, and this Manual are met.
(2) Operations Curtailment. Operations shall be curtailed or facilities shut
down for failure to establish, maintain, or operate consistent with an
approved radioactive waste management basis.
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G. Waste Acceptance. The following requirements are in addition to those in Chapter I
of this Manual.
(1) Technical and Administrative. Waste acceptance requirements for all
transuranic waste storage, treatment, or disposal facilities, operations, and
activities shall specify, at a minimum, the following:
(a) Allowable activities and/or concentrations of specific radionuclides;
(b) Acceptable waste form and/or container requirements that ensure the
chemical and physical stability of waste under conditions that might
be encountered during transportation, storage, treatment, or disposal;
(c) Restrictions or prohibitions on waste, materials, or containers that
may adversely affect waste handlers or compromise facility or waste
container performance;
(d) Requirement to identify transuranic waste as defense or non-defense,
and limitations on acceptance; and
(e) The basis, procedures, and levels of authority required for granting
exceptions to the waste acceptance requirements, which shall be
contained in each facility’s waste acceptance documentation. Each
exception request shall be documented, including its disposition as
approved or not approved.
(2) Evaluation and Acceptance. The receiving facility shall evaluate waste
for acceptance, including confirmation that technical and administrative
requirements have been met. A process for the disposition of
non-conforming wastes shall be established.
H. Waste Generation Planning. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Life-Cycle Planning. Prior to waste generation, planning shall be
performed to address the entire life cycle for all transuranic waste streams.
(2) Waste With No Identified Path to Disposal. Transuranic waste streams
with no identified path to disposal shall be generated only in accordance
with approved conditions which, at a minimum, shall address:
(a) Programmatic need to generate the waste;
(b) Characteristics and issues preventing the disposal of the waste;
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(c) Safe storage of the waste until disposal can be achieved; and
(d) Activities and plans for achieving final disposal of the waste.
I. Waste Characterization. Transuranic waste shall be characterized using direct or
indirect methods, and the characterization documented in sufficient detail to ensure
safe management and compliance with the waste acceptance requirements of the
facility receiving the waste.
(1) Data Quality Objectives. The data quality objectives process, or a
comparable process, shall be used for identifying characterization
parameters and acceptable uncertainty in characterization data.
(2) Minimum Waste Characterization. Characterization data shall, at a
minimum, include the following information relevant to the management of
the waste:
(a) Physical and chemical characteristics;
Section 28
(b) Volume, including the waste and any stabilization or absorbent
media;
(c) Weight of the container and contents;
(d) Identities, activities, and concentrations of major radionuclides;
(e) Characterization date;
(f) Generating source;
(g) Packaging date; and
(h) Any other information which may be needed to prepare and maintain
the disposal facility performance assessment or demonstrate
compliance with applicable performance objectives.
J. Waste Certification. A waste certification program shall be developed,
documented, and implemented to ensure that the waste acceptance requirements of
facilities receiving transuranic waste for storage, treatment, or disposal are met.
(1) Certification Program. The waste certification program shall designate
the officials who have the authority to certify and release waste for
shipment; and specify what documentation is required for waste generation,
characterization, shipment, and certification. The program shall provide
requirements for auditability, retrievability, and storage of required
documentation and specify the records retention period.
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(2) Certification Before Transfer. Transuranic waste shall be certified as
meeting waste acceptance requirements before it is transferred to the
facility receiving the waste.
(3) Maintaining Certification. Transuranic waste that has been certified as
meeting the waste acceptance requirements for transfer to a storage,
treatment, or disposal facility shall be managed in a manner that maintains
its certification status.
K. Waste Transfer. A documented process shall be established and implemented for
transferring responsibility for management of transuranic waste and for ensuring
availability of relevant data. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Authorization. Transuranic waste shall not be transferred to a storage,
treatment, or disposal facility until personnel responsible for the facility
receiving the waste authorize the transfer.
(2) Data. Waste characterization data, container information, and generation,
storage, treatment, and transportation information for transuranic waste
shall be transferred with or be traceable to the waste.
L. Packaging and Transportation. The following requirements are in addition to those
in Chapter I of this Manual.
(1) Packaging.
(a) Transuranic waste shall be packaged in a manner that provides
containment and protection for the duration of the anticipated storage
period and until disposal is achieved or until the waste is removed
from the container.
(b) Vents or other mechanisms to prevent pressurization of containers or
generation of flammable or explosive concentrations of gases shall be
installed on containers of newly-generated waste at the time the waste
is packaged. Containers of currently stored waste shall meet this
requirement as soon as practical unless analyses demonstrate that the
waste can otherwise be managed safely.
(c) When transuranic waste is packaged, defense waste shall be packaged
separately from non-defense waste, if feasible.
(d) Containers of transuranic waste shall be marked such that their
contents can be identified.
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(2) Transportation. To the extent practical, the volume of waste and number
of transuranic waste shipments shall be minimized.
M. Site Evaluation and Facility Design. The following requirements are in addition to
Section 29
those in Chapter I of this Manual.
(1) Site Evaluation. Proposed locations for transuranic waste facilities shall
be evaluated to identify relevant features that should be avoided or must be
considered in facility design and analyses.
(a) Each site proposed for a new transuranic waste facility or expansion
of an existing transuranic waste facility shall be evaluated
considering environmental characteristics, geotechnical
characteristics, and human activities.
(b) Proposed sites with environmental characteristics, geotechnical
characteristics, and human activities for which adequate protection
cannot be provided through facility design shall be deemed unsuitable
for the location of the facility.
(2) Facility Design. The following facility requirements and general design
criteria, at a minimum, apply:
(a) Confinement. Transuranic waste systems and components shall be
designed to maintain waste confinement.
(b) Ventilation.
1. Design of transuranic waste treatment and storage facilities
shall include ventilation, if applicable, through an appropriate
filtration system to maintain the release of radioactive
material in airborne effluents within the requirements and
guidelines specified in applicable requirements.
2. When conditions exist for generating gases in flammable or
explosive concentrations in treatment or storage facilities,
ventilation or other measures shall be provided to keep the
gases in a non-flammable and non-explosive condition.
Where concentrations of explosive or flammable gases are
expected to approach the lower flammability limit, measures
shall be taken to prevent deflagration or detonation.
(c) Consideration of Decontamination and Decommissioning. Areas
in new and modifications to existing transuranic waste management
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facilities that are subject to contamination with radioactive or other
hazardous materials shall be designed to facilitate decontamination.
For such facilities a proposed decommissioning method or a
conversion method leading to reuse shall be described.
(d) Instrumentation and Control Systems. Engineering controls shall
be incorporated in the design and engineering of transuranic waste
treatment and storage facilities to provide volume inventory data and
to prevent spills, leaks, and overflows from tanks or confinement
systems.
(e) Monitoring. Monitoring and/or leak detection capabilities shall be
incorporated in the design and engineering of transuranic waste
storage, treatment, and disposal facilities to provide rapid
identification of failed confinement and/or other abnormal
conditions.
N. Storage. The following requirements are in addition to those in Chapter I of this
Manual.
(1) Storage Prohibitions. Transuranic waste in storage shall not be readily
capable of detonation, explosive decomposition, reaction at anticipated
pressures and temperatures, or explosive reaction with water. Prior to
storage, pyrophoric materials shall be treated, prepared, and packaged to be
nonflammable.
(2) Storage Integrity. Transuranic waste shall be stored in a location and
manner that protects the integrity of waste for the expected time of storage
and minimizes worker exposure.
(3) Container Inspection. A process shall be developed and implemented for
inspecting and maintaining containers of transuranic waste to ensure
container integrity is not compromised.
(4) Retrievable Earthen-Covered Storage. Plans for the removal of
Section 30
transuranic waste from retrievable earthen-covered storage facilities shall
be established and maintained. Prior to commencing waste retrieval
activities, each waste storage site shall be evaluated to determine relevant
information on types, quantities, and location of radioactive and hazardous
chemicals as necessary to protect workers during the retrieval process.
O. Treatment. Transuranic waste shall be treated as necessary to meet the waste
acceptance requirements of the facility receiving the waste for storage or disposal.
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P. Disposal. Transuranic waste shall be disposed in accordance with the requirements
of 40 CFR Part 191, Environmental Radiation Protection Standards for
Management and Disposal of Spent Nuclear Fuel, High-Level and Transuranic
Radioactive Wastes.
Q. Monitoring. The following requirements are in addition to those in Chapter I of this
Manual.
(1) All Waste Facilities. Parameters that shall be sampled or monitored, at a
minimum, include: temperature, pressure (for closed systems), radioactivity
in ventilation exhaust and liquid effluent streams, and flammable or
explosive mixtures of gases. Facility monitoring programs shall include
verification that passive and active control systems have not failed.
(2) Stored Wastes. All transuranic wastes in storage shall be monitored, as
prescribed by the appropriate facility safety analysis, to ensure the wastes
are maintained in safe condition.
(3) Liquid Waste Storage Facilities. For facilities storing liquid transuranic
waste, the following shall also be monitored: liquid level and/or waste
volume, and significant waste chemistry parameters.
DOE M 435.1-1 IV-1
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CHAPTER IV
LOW-LEVEL WASTE REQUIREMENTS
A. Definition of Low-Level Waste. Low-level radioactive waste is radioactive waste
that is not high-level radioactive waste, spent nuclear fuel, transuranic waste,
byproduct material (as defined in section 11e.(2) of the Atomic Energy Act of 1954,
as amended), or naturally occurring radioactive material.
B. Management of Specific Wastes. The following provide for management of
specific wastes as low-level waste in accordance with the requirements in this
Chapter:
(1) Mixed Low-Level Waste. Low-level waste determined to contain both
source, special nuclear, or byproduct material subject to the Atomic Energy
Act of 1954, as amended, and a hazardous component subject to the
Resource Conservation and Recovery Act (RCRA), as amended, shall be
managed in accordance with the requirements of RCRA and DOE O 435.1,
Radioactive Waste Management, and this Manual.
(2) TSCA-Regulated Waste. Low-level waste containing polychlorinated
biphenyls, asbestos, or other such regulated toxic components shall be
managed in accordance with requirements derived from the Toxic
Substances Control Act, as amended, DOE O 435.1, Radioactive Waste
Management, and this Manual.
(3) Accelerator-Produced Waste. Radioactive waste produced as a result of
operations of DOE accelerators is low-level waste and shall be managed in
accordance with DOE O 435.1, Radioactive Waste Management, and this
Manual, and all applicable Federal or State requirements.
(4) 11e.(2) and Naturally Occurring Radioactive Material. Small
quantities of 11e.(2) byproduct material and naturally occurring radioactive
material may be managed as low-level waste provided they can be managed
to meet the requirements for low-level waste disposal in Section IV.P of this
Section 31
Manual.
C. Complex-Wide Low-Level Waste Management Program. A complex-wide
program and plan shall be developed as described under Responsibilities, 2.B and
2.D, in Chapter I of this Manual.
D. Radioactive Waste Management Basis. Low-level waste facilities, operations, and
activities shall have a radioactive waste management basis consisting of physical and
administrative controls to ensure the protection of workers, the public, and the
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environment. The following specific waste management controls shall be part of
the radioactive waste management basis:
(1) Generators. The waste certification program.
(2) Treatment Facilities. The waste acceptance requirements and the waste
certification program.
(3) Storage Facilities. The waste acceptance requirements and the waste
certification program.
(4) Disposal Facilities. The performance assessment, composite analysis,
disposal authorization statement, closure plan, waste acceptance
requirements, and monitoring plan.
E. Contingency Actions. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Contingency Storage. For off-normal or emergency situations involving
high activity or high hazard liquid low-level waste storage or treatment,
spare capacity with adequate capabilities shall be maintained to receive the
largest volume of liquid contained in any one storage tank or treatment
facility. Tanks or other facilities that are designated low-level waste
contingency storage shall be maintained in an operational condition when
waste is present and shall meet the requirements of DOE O 435.1,
Radioactive Waste Management, and this Manual.
(2) Transfer Equipment. Pipelines and auxiliary facilities necessary for the
transfer of high activity or high hazard liquid low-level waste to
contingency storage shall be maintained in an operational condition when
waste is present and shall meet the requirements of DOE O 435.1,
Radioactive Waste Management, and this Manual.
F. Corrective Actions. The following requirements are in addition to those in Chapter
I of this Manual.
(1) Order Compliance. Corrective actions shall be implemented whenever
necessary to ensure the requirements of DOE O 435.1, Radioactive Waste
Management, and this Manual are met.
(2) Operations Curtailment. Operations shall be curtailed or facilities shut
down for failure to establish, maintain, or operate consistent with an
approved radioactive waste management basis.
G. Waste Acceptance. The following requirements are in addition to those in Chapter I
of this Manual.
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(1) Technical and Administrative. Waste acceptance requirements for all
low-level waste storage, treatment, or disposal facilities, operations, and
activities shall specify, at a minimum, the following:
(a) Allowable activities and/or concentrations of specific radionuclides.
(b) Acceptable waste form and/or container requirements that ensure the
chemical and physical stability of waste under conditions that might
be encountered during transportation, storage, treatment, or disposal.
(c) Restrictions or prohibitions on waste, materials, or containers that
may adversely affect waste handlers or compromise facility or waste
container performance.
(d) The following are additional waste acceptance requirements that shall
be specified in low-level waste disposal facility waste acceptance
requirements:
Section 32
1. Low-level waste must contribute to and not detract from
achieving long-term stability of the facility, minimizing the
need for long-term active maintenance, minimizing
subsidence, and minimizing contact of water with waste.
Void spaces within the waste and, if containers are used,
between the waste and its container shall be reduced to the
extent practical.
2. Liquid low-level waste or low-level waste containing free
liquid must be converted into a form that contains as little
freestanding liquid as is reasonably achievable, but in no case
shall the liquid exceed 1 percent of the waste volume when the
low-level waste is in a disposal container, or 0.5 percent of the
waste volume after it is processed to a stable form.
3. Low-level waste must not be readily capable of detonation or
of explosive decomposition or reaction at anticipated
pressures and temperatures, or of explosive reaction with
water. Pyrophoric materials contained in waste shall be
treated, prepared, and packaged to be nonflammable.
4. Low-level waste must not contain, or be capable of generating
by radiolysis or biodegradation, quantities of toxic gases,
vapors, or fumes harmful to the public or workers or disposal
facility personnel, or harmful to the long-term structural
stability of the disposal site.
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5. Low-level waste in a gaseous form must be packaged such
that the pressure does not exceed 1.5 atmospheres absolute at
20 C.
(e) The basis, procedures, and levels of authority required for granting
exceptions to the waste acceptance requirements, which shall be
contained in each facility’s waste acceptance documentation. Each
exception request shall be documented, including its disposition as
approved or not approved.
(2) Evaluation and Acceptance. The receiving facility shall evaluate waste
for acceptance, including confirmation that the technical and administrative
requirements have been met. A process for the disposition of
non-conforming wastes shall be established.
H. Waste Generation Planning. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Life-Cycle Planning. Prior to waste generation, planning shall be
performed to address the entire life cycle for all low-level waste streams.
(2) Waste With No Identified Path to Disposal. Low-level waste streams
with no identified path to disposal shall be generated only in accordance
with approved conditions which, at a minimum, shall address:
(a) Programmatic need to generate the waste;
(b) Characteristics and issues preventing the disposal of the waste;
(c) Safe storage of the waste until disposal can be achieved; and
(d) Activities and plans for achieving final disposal of the waste.
I. Waste Characterization. Low-level waste shall be characterized using direct or
indirect methods, and the characterization documented in sufficient detail to ensure
safe management and compliance with the waste acceptance requirements of the
facility receiving the waste.
(1) Data Quality Objectives. The data quality objectives process, or a
comparable process, shall be used for identifying characterization
parameters and acceptable uncertainty in characterization data.
(2) Minimum Waste Characterization. Characterization data shall, at a
minimum, include the following information relevant to the management of
the waste:
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(a) Physical and chemical characteristics;
Section 33
(b) Volume, including the waste and any stabilization or absorbent
media;
(c) Weight of the container and contents;
(d) Identities, activities, and concentrations of major radionuclides;
(e) Characterization date;
(f) Generating source; and
(g) Any other information which may be needed to prepare and maintain
the disposal facility performance assessment, or demonstrate
compliance with applicable performance objectives.
J. Waste Certification. A waste certification program shall be developed,
documented, and implemented to ensure that the waste acceptance requirements of
facilities receiving low-level waste for storage, treatment, and disposal are met.
(1) Certification Program. The waste certification program shall designate
the officials who have the authority to certify and release waste for
shipment; and specify what documentation is required for waste generation,
characterization, shipment, and certification. The program shall provide
requirements for auditability, retrievability, and storage of required
documentation and specify the records retention period.
(2) Certification Before Transfer. Low-level waste shall be certified as
meeting waste acceptance requirements before it is transferred to the
facility receiving the waste.
(3) Maintaining Certification. Low-level waste that has been certified as
meeting the waste acceptance requirements for transfer to a storage,
treatment, or disposal facility shall be managed in a manner that maintains
its certification status.
K. Waste Transfer. A documented process shall be established and implemented for
transferring responsibility for management of low-level waste and for ensuring
availability of relevant data. The following requirements are in addition to those in
Chapter I of this Manual.
(1) Authorization. Low-level waste shall not be transferred to a storage,
treatment, or disposal facility until personnel responsible for the facility
receiving the waste authorize the transfer.
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(2) Data. Waste characterization data, container information, and generation,
storage, treatment, and transportation information for low-level waste shall
be transferred with or be traceable to the waste.
L. Packaging and Transportation. The following requirements are in addition to those
in Chapter I of this Manual.
(1) Packaging. If containers are used:
(a) Low-level waste shall be packaged in a manner that provides
containment and protection for the duration of the anticipated storage
period and until disposal is achieved or until the waste has been
removed from the container.
(b) When waste is packaged, vents or other measures shall be provided if
the potential exists for pressurizing or generating flammable or
explosive concentrations of gases within the waste container.
(c) Containers of low-level waste shall be marked such that their contents
can be identified.
(2) Transportation. To the extent practical, the volume of waste and number
of low-level waste shipments shall be minimized.
M. Site Evaluation and Facility Design. The following requirements are in addition to
those in Chapter I of this Manual.
(1) Site Evaluation. Proposed locations for low-level waste facilities shall be
evaluated to identify relevant features that should be avoided or must be
considered in facility design and analyses.
(a) Each site proposed for a new low-level waste facility or expansion of
an existing low-level waste facility shall be evaluated considering
Section 34
environmental characteristics, geotechnical characteristics, and
human activities, including for a low-level waste disposal facility, the
capability of the site to demonstrate, at a minimum, whether it is:
1. Located to accommodate the projected volume of waste to be
received;
2. Located in a flood plain, a tectonically active area, or in the
zone of water table fluctuation; and
3. Located where radionuclide migration pathways are
predictable and erosion and surface runoff can be controlled.
DOE M 435.1-1 IV-7
7-09-99
(b) Proposed sites with environmental characteristics, geotechnical
characteristics, and human activities for which adequate protection
cannot be provided through facility design shall be deemed unsuitable
for the location of the facility.
(c) Low-level waste disposal facilities shall be sited to achieve long-term
stability and to minimize, to the extent practical, the need for active
maintenance following final closure.
(2) Low-Level Waste Treatment and Storage Facility Design. The
following facility requirements and general design criteria, at a minimum,
apply:
(a) Confinement. Low-level waste systems and components shall be
designed to maintain waste confinement.
(b) Ventilation.
1. Design of low-level waste treatment and storage facilities
shall include ventilation, if applicable, through an appropriate
filtration system to maintain the release of radioactive
material in airborne effluents within the requirements and
guidelines specified in applicable requirements.
2. When conditions exist for generating gases in flammable or
explosive concentrations, ventilation systems or other
measures shall be provided to keep the gases in a
non-flammable and non-explosive condition. Where
concentrations of explosive or flammable gases are expected
to approach the lower flammability limit, measures shall be
taken to prevent deflagration or detonation.
(c) Consideration of Decontamination and Decommissioning. Areas
in new and modifications to existing low-level waste management
facilities that are subject to contamination with radioactive or other
hazardous materials shall be designed to facilitate decontamination.
For such facilities a proposed decommissioning method or a
conversion method leading to reuse shall be described.
(d) Instrumentation and Control Systems. Engineering controls shall
be incorporated in the design and engineering of low-level waste
treatment and storage facilities to provide volume inventory data and
to prevent spills, leaks, and overflows from tanks or confinement
systems.
IV-8 DOE M 435.1-1
7-09-99
(e) Monitoring. Monitoring and/or leak detection capabilities shall be
incorporated in the design and engineering of low-level waste
treatment and storage facilities to provide rapid identification of
failed confinement and/or other abnormal conditions.
(3) Low-Level Waste Disposal Facility Design. The following facility
requirements and general design criteria, at a minimum, apply:
(a) Confinement. Low-level waste systems and components shall be
designed to maintain waste confinement.
(b) Ventilation.
1. Design of low-level waste disposal facilities shall include
ventilation, if applicable, through an appropriate filtration
system to maintain the release of radioactive material in
airborne effluents within the requirements and guidelines
specified in applicable requirements.
2. When conditions exist for generating gases in flammable or
Section 35
explosive concentrations, ventilation systems or other
measures shall be provided to keep the gases in a
non-flammable and non-explosive condition. Where
concentrations of explosive or flammable gases are expected
to approach the lower flammability limit, measures shall be
taken to prevent deflagration or detonation.
(c) Stability. Low-level waste disposal facilities shall be designed to
achieve long-term stability and to minimize to the extent practical, the
need for active maintenance following final closure.
(d) Control of Water. Low-level waste disposal facilities shall be
designed to minimize to the extent practical, the contact of waste with
water during and after disposal.
N. Storage and Staging. The following requirements are in addition to those in Chapter
I of this Manual.
(1) Storage Prohibitions. Low-level waste in storage shall not be readily
capable of detonation, explosive decomposition, reaction at anticipated
pressures and temperatures, or explosive reaction with water. Prior to
storage, pyrophoric materials shall be treated, prepared, and packaged to be
nonflammable.
DOE M 435.1-1 IV-9
7-09-99
(2) Storage Limit. Low-level waste that has an identified path to disposal
shall not be stored longer than one year prior to disposal, except for storage
for decay, or as otherwise authorized by the Field Element Manager.
(3) Storage Integrity. Low-level waste shall be stored in a location and
manner that protects the integrity of waste for the expected time of storage
and minimizes worker exposure.
(4) Waste Characterization for Storage.
(a) Low-level waste that does not have an identified path to disposal shall
be characterized as necessary to meet the data quality objectives and
minimum characterization requirements of this Chapter, to ensure
safe storage, and to facilitate disposal.
(b) Characterization information for all low-level waste in storage shall
be maintained as a record in accordance with the requirements for
Records Management in Chapter I of this Manual.
(5) Container Inspection. A process shall be developed and implemented for
inspecting and maintaining containers of low-level waste to ensure
container integrity is not compromised.
(6) Storage Management. Low-level waste storage shall be managed to
identify and segregate low-level waste from mixed low-level waste.
(7) Staging. Staging of low-level waste shall be for the purpose of the
accumulation of such quantities of waste as necessary to facilitate
transportation, treatment, and disposal. Staging longer than 90 days shall
meet the requirements for storage above and in Chapter I of this Manual.
O. Treatment. Low-level waste treatment to provide more stable waste forms and to
improve the long-term performance of a low-level waste disposal facility shall be
implemented as necessary to meet the performance objectives of the disposal
facility.
P. Disposal. Low-level waste disposal facilities shall meet the following
requirements.
(1) Performance Objectives. Low-level waste disposal facilities shall be
sited, designed, operated, maintained, and closed so that a reasonable
expectation exists that the following performance objectives will be met for
waste disposed of after September 26, 1988:
(a) Dose to representative members of the public shall not exceed
25 mrem (0.25 mSv) in a year total effective dose equivalent from all
IV-10 DOE M 435.1-1
7-09-99
Section 36
exposure pathways, excluding the dose from radon and its progeny in
air.
(b) Dose to representative members of the public via the air pathway
shall not exceed 10 mrem (0.10 mSv) in a year total effective dose
equivalent, excluding the dose from radon and its progeny.
(c) Release of radon shall be less than an average flux of 20 pCi/m
2
/s
(0.74 Bq/m
2
/s) at the surface of the disposal facility. Alternatively, a
limit of 0.5 pCi/1 (0.0185 Bq/l) of air may be applied at the boundary
of the facility.
(2) Performance Assessment. A site-specific radiological performance
assessment shall be prepared and maintained for DOE low-level waste
disposed of after September 26, 1988. The performance assessment shall
include calculations for a 1,000 year period after closure of potential doses
to representative future members of the public and potential releases from
the facility to provide a reasonable expectation that the performance
objectives identified in this Chapter are not exceeded as a result of
operation and closure of the facility.
(a) Analyses performed to demonstrate compliance with the performance
objectives in this Chapter, and to establish limits on concentrations of
radionuclides for disposal based on the performance measures for
inadvertent intruders in this Chapter shall be based on reasonable
activities in the critical group of exposed individuals. Unless
otherwise specified, the assumption of average living habits and
exposure conditions in representative critical groups of individuals
projected to receive the highest doses is appropriate. The likelihood
of inadvertent intruder scenarios may be considered in interpreting
the results of the analyses and establishing radionuclide
concentrations, if adequate justification is provided.
(b) The point of compliance shall correspond to the point of highest
projected dose or concentration beyond a 100 meter buffer zone
surrounding the disposed waste. A larger or smaller buffer zone may
be used if adequate justification is provided.
(c) Performance assessments shall address reasonably foreseeable
natural processes that might disrupt barriers against release and
transport of radioactive materials.
(d) Performance assessments shall use DOE-approved dose coefficients
(dose conversion factors) for internal and external exposure of
reference adults.
DOE M 435.1-1 IV-11
7-09-99
(e) The performance assessment shall include a sensitivity/uncertainty
analysis.
(f) Performance assessments shall include a demonstration that projected
releases of radionuclides to the environment shall be maintained as
low as reasonably achievable (ALARA).
(g) For purposes of establishing limits on radionuclides that may be
disposed of near-surface, the performance assessment shall include
an assessment of impacts to water resources.
(h) For purposes of establishing limits on the concentration of
radionuclides that may be disposed of near-surface, the performance
assessment shall include an assessment of impacts calculated for a
hypothetical person assumed to inadvertently intrude for a temporary
period into the low-level waste disposal facility. For intruder
analyses, institutional controls shall be assumed to be effective in
deterring intrusion for at least 100 years following closure. The
intruder analyses shall use performance measures for chronic and
acute exposure scenarios, respectively, of 100 mrem (1 mSv) in a
Section 37
year and 500 mrem (5 mSv) total effective dose equivalent excluding
radon in air.
(3) Composite Analysis. For disposal facilities which received waste after
September 26, 1988, a site-specific radiological composite analysis shall be
prepared and maintained that accounts for all sources of radioactive
material that may be left at the DOE site and may interact with the low-level
waste disposal facility, contributing to the dose projected to a hypothetical
member of the public from the existing or future disposal facilities.
Performance measures shall be consistent with DOE requirements for
protection of the public and environment and evaluated for a 1,000 year
period following disposal facility closure. The composite analysis results
shall be used for planning, radiation protection activities, and future use
commitments to minimize the likelihood that current low-level waste
disposal activities will result in the need for future corrective or remedial
actions to adequately protect the public and the environment.
(4) Performance Assessment and Composite Analysis Maintenance. The
performance assessment and composite analysis shall be maintained to
evaluate changes that could affect the performance, design, and operating
bases for the facility. Performance assessment and composite analysis
maintenance shall include the conduct of research, field studies, and
monitoring needed to address uncertainties or gaps in existing data. The
performance assessment shall be updated to support the final facility
IV-12 DOE M 435.1-1
7-09-99
closure. Additional iterations of the performance assessment and
composite analysis shall be conducted as necessary during the post-closure
period.
(a) Performance assessments and composite analyses shall be reviewed
and revised when changes in waste forms or containers, radionuclide
inventories, facility design and operations, closure concepts, or the
improved understanding of the performance of the waste disposal
facility in combination with the features of the site on which it is
located alter the conclusions or the conceptual model(s) of the
existing performance assessment or composite analysis.
(b) A determination of the continued adequacy of the performance
assessment and composite analysis shall be made on an annual basis,
and shall consider the results of data collection and analysis from
research, field studies, and monitoring.
(c) Annual summaries of low-level waste disposal operations shall be
prepared with respect to the conclusions and recommendations of the
performance assessment and composite analysis and a determination
of the need to revise the performance assessment or composite
analysis.
(5) Disposal Authorization. A disposal authorization statement shall be
obtained prior to construction of a new low-level waste disposal facility.
Field Elements with existing low-level waste disposal facilities shall obtain
a disposal authorization statement in accordance with the schedule in the
Complex-Wide Low-Level Waste Management Program Plan. The
disposal authorization statement shall be issued based on a review of the
facility’s performance assessment, composite analysis, performance
assessment and composite analysis maintenance, preliminary closure plan,
and preliminary monitoring plan. The disposal authorization statement
shall specify the limits and conditions on construction, design, operations,
and closure of the low-level waste facility based on these reviews. A
Section 38
disposal authorization statement is a part of the radioactive waste
management basis for a disposal facility. Failure to obtain a disposal
authorization statement by the implementation date of this Order shall result
in shutdown of the disposal facility.
(6) Disposal Facility Operations. The disposal facility design and operation
must be consistent with the disposal facility closure plan and lead to
disposal facility closure that provides a reasonable expectation that
performance objectives will be met. Low-level waste shall be disposed in
such a manner that achieves the performance objectives stated in this
DOE M 435.1-1 IV-13
7-09-99
Chapter, consistent with the disposal facility radiological performance
assessment. Additional requirements include:
(a) Operating procedures shall be developed and implemented for
low-level waste disposal facilities that protect the public, workers,
and the environment; ensure the security of the facility; minimize
subsidence during and after waste emplacement; achieve long-term
stability and minimize the need for long-term active maintenance;
and meet the requirements of the closure/post-closure plan.
(b) Permanent identification markers for disposal excavations and
monitoring wells shall be emplaced.
(c) Low-level waste placement into disposal units shall minimize voids
between waste containers. Voids within disposal units shall be filled
to the extent practical. Uncontainerized bulk waste shall also be
placed in a manner that minimizes voids and subsidence.
(d) Operations are to be conducted so that active waste disposal
operations will not have an adverse effect on any other disposal units.
(e) Operations shall include a process for tracking and documenting
low-level waste placement in the facility by generator source.
(7) Alternate Requirements for Low-Level Waste Disposal Facility Design
and Operation. Requirements other than those set forth in this Section for
the design and operation of a low-level waste disposal facility may be
approved on a specific basis if a reasonable expectation is demonstrated that
the disposal performance objectives will be met.
Q. Closure. The following requirements are in addition to those in Chapter I of this
Manual.
(1) Disposal Facility Closure Plans. A preliminary closure plan shall be
developed and submitted to Headquarters for review with the performance
assessment and composite analysis. The closure plan shall be updated
following issuance of the disposal authorization statement to incorporate
conditions specified in the disposal authorization statement. Closure plans
shall:
(a) Be updated as required during the operational life of the facility.
(b) Include a description of how the disposal facility will be closed to
achieve long-term stability and minimize the need for active
maintenance following closure and to ensure compliance with the
IV-14 DOE M 435.1-1
7-09-99
requirements of DOE 5400.5, Radiation Protection of the Public and
the Environment.
(c) Include the total expected inventory of wastes to be disposed of at the
facility over the operational life of the facility.
(2) Disposal Facility Closure. Closure of a disposal facility shall occur
within a five-year period after it is filled to capacity, or after the facility is
otherwise determined to be no longer needed.
(a) Prior to facility closure, the final inventory of the low-level waste
disposed in the facility shall be prepared and incorporated in the
Section 39
performance assessment and composite analysis which shall be
updated to support the closure of the facility.
(b) A final closure plan shall be prepared based on the final inventory of
waste disposed in the facility, the plan implemented, and the updated
performance assessment and composite analysis prepared in support
of the facility closure.
(c) Institutional control measures shall be integrated into land use and
stewardship plans and programs, and shall continue until the facility
can be released pursuant to DOE 5400.5, Radiation Protection of the
Public and the Environment.
(d) The location and use of the facility shall be filed with the local
authorities responsible for land use and zoning.
R. Monitoring. The following requirements are in addition to those in Chapter I of this
Manual.
(1) All Waste Facilities. Parameters that shall be sampled or monitored, at a
minimum, include: temperature, pressure (for closed systems), radioactivity
in ventilation exhaust and liquid effluent streams, and flammable or
explosive mixtures of gases. Facility monitoring programs shall include
verification that passive and active control systems have not failed.
(2) Liquid Waste Storage Facilities. For facilities storing liquid low-level
waste, the following shall also be monitored: liquid level and/or waste
volume, and significant waste chemistry parameters.
(3) Disposal Facilities. A preliminary monitoring plan for a low-level waste
disposal facility shall be prepared and submitted to Headquarters for review
with the performance assessment and composite analysis. The monitoring
plan shall be updated within one year following issuance of the disposal
DOE M 435.1-1 IV-15
7-09-99
authorization statement to incorporate and implement conditions specified
in the disposal authorization statement.
(a) The site-specific performance assessment and composite analysis
shall be used to determine the media, locations, radionuclides, and
other substances to be monitored.
(b) The environmental monitoring program shall be designed to include
measuring and evaluating releases, migration of radionuclides,
disposal unit subsidence, and changes in disposal facility and disposal
site parameters which may affect long-term performance.
(c) The environmental monitoring programs shall be capable of detecting
changing trends in performance to allow application of any necessary
corrective action prior to exceeding the performance objectives in this
Chapter.
(This page intentionally left blank.)
DOE M 435.1-1 Attachment 2
7-09-99 Page 1
DEFINITIONS
As used in the DOE 435.1 directives, the following terms have the meanings indicated.
1. AUTHORIZATION BASIS. Those aspects of the facility design basis and operational
requirements relied upon by DOE to authorize operation. They are considered to be
important to the safety of the facility operations. The authorization basis is described in
documents such as the facility Safety Analysis Report and other safety analysis; Hazard
Classification Documents, Technical Safety Requirements, DOE-issued safety evaluation
reports, and facility-specific commitments made in order to comply with DOE Orders or
policies. [Adapted from: DOE Glossary, DOE 5480.21 and DOE 5480.23]
2. BYPRODUCT MATERIAL. (1) Any radioactive material (except special nuclear
material) yielded in or made radioactive by exposure to the radiation incident to the process
Section 40
of producing or utilizing special nuclear material, and (2) the tailings or wastes produced by
the extraction or concentration of uranium or thorium from any ore processed primarily for
its source material content. [Source: Atomic Energy Act of 1954, as amended, section
11(e)]
3. CANISTERED WASTE FORM. High-level waste form in a sealed canister. [Source:
EM-WAPS, DOE/EM-0093]
4. CLOSURE. Deactivation and stabilization of a radioactive waste facility intended for
long-term confinement of waste. [No other source of definition identified]
5. COMPOSITE ANALYSIS. An analysis that accounts for all sources of radioactive
material that may contribute to the long-term dose projected to a hypothetical member of the
public from an active or planned low-level waste disposal facility. The analysis is a
planning tool intended to provide a reasonable expectation that current low-level waste
disposal activities will not result in the need for future corrective or remedial actions to
ensure protection of the public and the environment. [Adapted from: Revised Interim DOE
Policy on Management Direction and Oversight of Low-Level Radioactive Waste
Management Disposal]
6. CONFINEMENT. The control or retention of radioactive materials within a designated
boundary. Primary confinements are process enclosures and other spaces normally
containing radioactive material. Secondary confinement surrounds one or more primary
confinement systems. [Adapted from: DOE 6430.1A]
7. CONTAINER. See WASTE CONTAINER.
8. DEACTIVATED HIGH-LEVEL WASTE FACILITY. A high-level waste facility that has
been put into a stable condition through the removal of readily retrievable hazardous and
radioactive materials to protect the worker, public health and safety, and the environment,
Attachment 2 DOE M 435.1-1
Page 2 7-09-99
thereby limiting the long-term cost of surveillance and maintenance. A facility in a
deactivated status has not had all necessary decontamination performed, e.g., removal of
contamination remaining in fixed structures and equipment after deactivation. [Adapted
from: DOE O 430.1A]
9. DEFENSE-IN-DEPTH. The practice of using physical systems and administrative systems
in a structure of mutual reenforcement to avoid exposure of the public, the workforce, and
the environment to nuclear radiation and to radioactive materials. [Source:
DNFSB/TECH-6]
10. DEPARTMENTAL ELEMENTS. First-tier organizations at Headquarters and in the
Field. First-tier at Headquarters is the Secretary, Deputy Secretary, Under Secretary, and
Secretarial Officers (Assistant Secretaries and Staff Office Directors). First-tier in the Field
is Managers of the eight Operations Offices, Managers of the three Field Offices, and the
Administrators of the Power Marketing Administrations. Headquarters and Field Elements
are described as follows: (1) Headquarters Elements are DOE organizations located in the
Washington, DC, Metropolitan Area; and (2) Field Elements is a general term for all DOE
sites (excluding individual duty stations) located outside of the Washington, DC,
Metropolitan Area. [Source: DOE Glossary]
11. DESIGN BASIS. Information that identifies the specific functions to be performed by a
structure, system, or component of a facility, and the specific values or range of values
chosen for controlling parameters as reference bounds of design. These values may be (1)
restraints derived from generally accepted “state of the art” practices for achieving
Section 41
functional goals, or (2) requirements derived from analyses (based on calculations and/or
experiments) of the effects of a postulated accident for which a structure, system, or
component must meet its functional goals. [Adapted from: 10 CFR Part 50]
12. DISPOSAL. Emplacement of waste in a manner that ensures protection of the public,
workers, and the environment with no intent of retrieval and that requires deliberate action to
regain access to the waste. [Adapted from: DOE 5820.2A]
13. DISPOSAL AUTHORIZATION STATEMENT. Documentation authorizing operation
(or continued operation) of a low-level waste disposal facility resulting from the DOE
Headquarters review and acceptance of the facility’s performance assessment, composite
analysis, and other information and evaluations. The disposal authorization statement
constitutes approval of the performance assessment and composite analysis, authorizes
operation of the facility, and includes conditions the disposal facility must meet. [Adapted
from: Revised Interim DOE Policy Management Direction and Oversight of Low-Level
Radioactive Waste Management and Disposal]
14. DISPOSITION. Those activities that follow generation of a waste and which constitute
completion of the life cycle of management of the waste, including, but not limited to,
DOE M 435.1-1 Attachment 2
7-09-99 Page 3
stabilization, deactivation, disposal, decommissioning, dismantlement, and/or reuse.
[Adapted from: DOE O 430.1]
15. EFFLUENT. Any treated or untreated air emission or liquid discharge at a DOE site or
from a DOE facility. [Source: DOE 5400.1]
16. FACILITY. See RADIOACTIVE WASTE MANAGEMENT FACILITY.
17. FIELD ELEMENT. See DEPARTMENTAL ELEMENTS.
18. FIELD ELEMENT MANAGER. See DEPARTMENTAL ELEMENTS.
19. GENERATOR. Organizations within DOE or managed by DOE whose act or process
produces radioactive waste or, for the purposes of the generator requirements in this Order
and Manual, transfer radioactive waste to a treatment, storage, or disposal facility.
[Adapted from: 40 CFR Part 270]
20. GRADED APPROACH. A process by which the level of analysis, documentation, and
actions necessary to comply with a requirement are commensurate with (1) the relative
importance to safety, safeguards, and security; (2) the magnitude of any hazard involved; (3)
the life cycle stage of a facility; (4) the programmatic mission of a facility; (5) the particular
characteristics of a facility; and (6) any other relevant factor. [Source: 10 CFR 830.3]
21. HAZARD. A source of danger (i.e., material, energy source, or operation) with the
potential to cause illness, injury, or death to personnel or damage to an operation or to the
environment (without regard for the likelihood or credibility of accident scenarios or
consequence mitigation). [Source: DOE M 411.1-1]
22. HIGH-LEVEL WASTE. High-level waste is the highly radioactive waste material
resulting from the reprocessing of spent nuclear fuel, including liquid waste produced
directly in reprocessing and any solid material derived from such liquid waste that contains
fission products in sufficient concentrations; and other highly radioactive material that is
determined, consistent with existing law, to require permanent isolation. [Adapted from:
Nuclear Waste Policy Act of 1982, as amended]
23. LESSONS LEARNED. The process for communicating a “good work practice” or
innovative approach that should be implemented or an adverse work practice or experience
Section 42
that should be avoided. [Adapted from: DOE M 232.1-1A]
24. LIFE CYCLE. The life of a waste from generator planning through generation, storage,
treatment, and disposal. [Adapted from: DOE O 430.1A]
25. LOW-LEVEL WASTE. Low-level radioactive waste is radioactive waste that is not
high-level radioactive waste, spent nuclear fuel, transuranic waste, byproduct material (as
Attachment 2 DOE M 435.1-1
Page 4 7-09-99
defined in section 11e.(2) of the Atomic Energy Act of 1954, as amended), or naturally
occurring radioactive material. [Adapted from: Nuclear Waste Policy Act of 1982, as
amended]
26. MAINTENANCE. Day-to-day work, including preventive and predictive maintenance,
that is required to maintain and preserve plant and capital equipment in a condition suitable
for it to be used for its designated purpose. [Source: DOE O 430.1A]
27. MIXED WASTE. Waste that contains both source, special nuclear, or by-product material
subject to the Atomic Energy Act of 1954, as amended, and a hazardous component subject
to the Resource Conservation and Recovery Act. [Adapted from: Federal Facility
Compliance Act of 1992]
28. NATURALLY OCCURRING RADIOACTIVE MATERIAL (NORM). Naturally
occurring materials not regulated under the Atomic Energy Act of 1954, as amended whose
composition, radionuclide concentrations, availability, or proximity to man have been
increased by or as a result of human practices NORM does not include the natural
radioactivity of rocks or soils, or background radiation. [Adapted from: January 1997 Draft
Part N, Regulation and Licensing of Naturally Occurring Radioactive Material, Conference
of Radiation Control Program Directors, Inc.]
29. NEAR SURFACE DISPOSAL. Disposal of radioactive waste on or near the earth’s
surface. The term encompasses a wide range of methods, including disposal in earthen
trenches several meters deep, disposal in engineered structures constructed on or below the
surface, and disposal in structures or rock caverns tens of meters below the earth’s surface.
Near surface disposal does not include disposal in a deep geologic repository. [Adapted
from: IAEA Safety Standard No. 111-S-3]
30. NECESSARY AND SUFFICIENT PROCESS. The sets of standards which are the
product of the “Necessary and Sufficient Process” of DOE M 450.3-1. That process
establishes the sets of agreed upon standards to ensure adequate protection of the safety and
health of workers and the public and the protection of the environment against the hazards
associated with performing the work of the Department of Energy. [Adapted from: DOE G
450.3-1]
31. OVERSIGHT. The responsibility and authority assigned to line management to assess the
adequacy of DOE and contractor performance. Independent Oversight refers to the
responsibility and authority assigned to the Assistant Secretary for Environment, Safety and
Health to independently assess the adequacy of DOE and contractor performance.
[Adapted from: DOE M 411.1-1]
32. PERFORMANCE ASSESSMENT. An analysis of a radioactive waste disposal facility
conducted to demonstrate there is a reasonable expectation that performance objectives
DOE M 435.1-1 Attachment 2
7-09-99 Page 5
established for the long-term protection of the public and the environment will not be
exceeded following closure of the facility. [Adapted from: DOE 5820.2A]
33. PROGRAM SECRETARIAL OFFICER. Head of a Departmental Element who has
Section 43
responsibility for a specific program or facility(ies). These include the Deputy
Administrator for Defense Programs; the Assistant Secretaries for Energy Efficiency and
Renewable Energy, Environmental Management, and Fossil Energy; and the Directors of
the Offices of Civilian Radioactive Waste Management, Science, and Nuclear Energy; and
(2) a Cognizant Secretarial Officer is a DOE official at the Assistant Secretary level who is
responsible for the assignment of work, the institutional overview of any type of facility, or
both, and the management oversight of a laboratory. [Source: DOE M 232.1-1A]
34. RADIOACTIVE MIXED WASTE. See MIXED WASTE.
35. RADIOACTIVE WASTE. Any garbage, refuse, sludges, and other discarded material,
including solid, liquid, semisolid, or contained gaseous material that must be managed for its
radioactive content. [Adapted from: 40 CFR Part 240]
36. RADIOACTIVE WASTE MANAGEMENT BASIS. The radioactive waste management
controls applied to DOE facilities, operations, and activities to provide near- and long-term
protection of public, workers, and the environment. The radioactive waste management
basis consists of controls and analyses such as facility waste certification programs, facility
waste acceptance requirements, low-level waste disposal facility closure plans, performance
assessments, composite analyses, and other facility-specific processes, procedures, and
analyses made to comply with DOE O 435.1 and its Manual. [No other source of definition
identified]
37. RADIOACTIVE WASTE MANAGEMENT FACILITY/OPERATIONS/ACTIVITIES.
All land, structures, other appurtenances, and improvements on the land which generate,
treat, store, or dispose of radioactive waste, and the operations and activities associated
therewith. [Adapted from: DOE 5820.2A]
38. RECORD. A completed document or other medium that provides objective evidence of an
item, service, or process. [Source: 10 CFR 830.3]
39. RELEASE. Any discharging, dumping, emitting, emptying, escaping, injecting, leaching,
leaking, pouring, pumping, spilling of radioactive substances into the environment including
abandoning any type of receptacle containing radioactive substances, but does not include
disposal in a permitted disposal facility. [Adapted from: DOE Glossary]
40. RELEASE OF WASTE. The exercising of DOE’s authority to release property that has
been declared waste from its control after confirming that residual radioactive material on
the waste has been determined to meet the guidelines for residual radioactive material in
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Page 6 7-09-99
accordance with DOE 5400.5, Radiation Protection of the Public and the Environment, and
other applicable radiological requirements. [Adapted from: DOE 5400.5]
41. SITE. A geographic entity comprising leased or owned land, buildings, and other
structures required to perform program activities. [Source: DOE O 430.1A]
42. SOURCE MATERIAL. (1) Uranium or thorium, or any combination thereof, in any
physical or chemical form or (2) ores which contain by weight one-twentieth of one percent
(0.05%) or more of (i) uranium, (ii) thorium or (iii) any combination thereof. Source
material does not include special nuclear material. [Source: 10 CFR Part 40]
43. SPECIAL NUCLEAR MATERIAL. (1) Plutonium, uranium enriched in the isotope 233 or
in the isotope 235, and any other material which is determined, pursuant to the provisions of
Section 44
section 51 [of the Atomic Energy Act of 1954, as amended], to be special nuclear material,
but does not include source material; or (2) any material artificially enriched by any of the
foregoing, but does not include source material. [Source: Atomic Energy Act of 1954, as
amended]
44. SPENT NUCLEAR FUEL. Fuel that has been withdrawn from a nuclear reactor following
irradiation, the constituent elements of which have not been separated by reprocessing.
Test specimens of fissionable material irradiated for research and development only, and not
production of power or plutonium, may be classified as waste, and managed in accordance
with the requirements of this Order when it is technically infeasible, cost prohibitive, or
would increase worker exposure to separate the remaining test specimens from other
contaminated material. [Adapted from: DOE 5820.2A]
45. STAGING. Storing waste for the purpose of accumulation to facilitate transportation,
transfer, treatment, and/or disposal. [Adapted from: Surplus Plutonium Disposition Draft
Environmental Impact Statement, July 1998]
46. STORAGE. The holding of radioactive waste for a temporary period, at the end of which
the waste is treated, disposed of, or stored elsewhere. [Adapted from: 40 CFR Part 260]
47. STORAGE FOR DECAY. Storage of radioactive waste for a period of time sufficient for
radionuclide(s) of concern to be reduced in concentration, by radioactive decay, to a level of
lower concern. [Source: DOE 5820.2A]
48. SYSTEMS ENGINEERING. A total systematic approach for the development of systems
in response to a defined need. It involves a comprehensive, structured and disciplined
approach to all life-cycle phases. Systems Engineering employs a multi-discipline team to
iteratively define and refine solutions to problems throughout the system life cycle.
Preferred alternatives are selected based on cost, schedule, performance and risk.
Management of risk is integral to the process. Progressive verification, from individual
DOE M 435.1-1 Attachment 2
7-09-99 Page 7
components up through the total system, is required. [Source: EIA-632, Systems
Engineering]
49. TRANSURANIC WASTE. Transuranic waste is radioactive waste containing more than
100 nanocuries (3700 becquerels) of alpha-emitting transuranic isotopes per gram of waste,
with half-lives greater than 20 years, except for: (1) high-level radioactive waste; (2) waste
that the Secretary of Energy has determined, with the concurrence of the Administrator of
the Environmental Protection Agency, does not need the degree of isolation required by the
40 CFR Part 191 disposal regulations; or (3) waste that the Nuclear Regulatory Commission
has approved for disposal on a case-by-case basis in accordance with 10 CFR Part 61.
[Source: WIPP Land Withdrawal Act of 1992, as amended]
50. TREATMENT. Any method, technique, or process designed to change the physical or
chemical character of waste to render it: less hazardous; safer to transport, store, or dispose
of; or reduce its volume. [Source: DOE 5820.2A]
51. WASTE ACCEPTANCE CRITERIA (WAC). Waste acceptance criteria are the technical
and administrative requirements that a waste must meet in order for it to be accepted at a
storage, treatment, or disposal facility. [Adapted from: DOE 5820.2A]
52. WASTE ACCEPTANCE REQUIREMENTS. Waste acceptance requirements are waste
acceptance criteria, and all other requirements that a facility receiving radioactive waste for
Section 45
storage, treatment, or disposal must meet to receive waste (e.g., waste acceptance program
requirements, receiving facility operations manual). [Adapted from: DOE O 5820.2A]
53. WASTE CHARACTERIZATION. The identification of waste composition and
properties, by review of acceptable knowledge (which includes process knowledge), or by
nondestructive examination, nondestructive assay, or sampling and analysis, to comply with
applicable storage, treatment, handling, transportation, and disposal requirements.
[Adapted from: DOE Glossary (“Characterization” definition) and Federal Register, Vol.
62, No. 224]
54. WASTE CERTIFICATION. A process by which a waste generator affirms that a given
waste or waste stream meets the waste acceptance criteria of the facility to which the
generator intends to transfer waste for treatment, storage, or disposal. [Adapted from: DOE
5820.2A]
55. WASTE CONTAINER. A receptacle for waste, including any liner, shielding, or material
that is intended to accompany the waste in disposal. [Adapted from: DOE 5820.2A]
56. WASTE MANAGEMENT. The planning, coordination, and direction of those functions
related to generation, handling, treatment, storage, transportation, and disposal of waste, as
well as associated surveillance and maintenance activities. [Source: DOE 5820.2A]
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Page 8 7-09-99
57. WASTE STREAM. A waste or group of wastes from a process or a facility with similar
physical, chemical, or radiological properties. [Adapted from: DOE 5820.2A]